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  1. Rules & Guidance
  2. Guidance
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FINRA Main Navigation

Rules & Guidance

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    • Guidance
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  • The Rulemaking Process
    • Rule Filings
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  • Enforcement
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    • Monthly Disciplinary Actions
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Guidance
  • FAQ
    Margin Balance Reporting: Frequently Asked Questions under FINRA Rule 4521(d)
    April 13, 2021
  • FAQ
    Responses To Frequently Asked Questions Regarding Covered Agency Transactions Under FINRA Rule 4210
    September 18, 2017
  • Guidance
    Regulatory Notice 11-30
    June 27, 2011
  • Guidance
    Regulatory Notice 11-16
    April 07, 2011
  • Guidance
    Regulatory Notice 10-53
    October 26, 2010
  • Guidance
    Regulatory Notice 10-18
    April 06, 2010
  • Guidance
    Regulatory Notice 08-65
    November 04, 2008
  • Guidance
    Margin Statistics
  • Guidance
    Interpretations of Rule 4210
  • FAQ
    Portfolio Margin FAQ

           

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ARBITRATION & MEDIATION

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