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  1. Rules & Guidance
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Guidance
  • 2019 Exam Findings Report
    Best Execution
    October 16, 2019
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    Regulatory Notice 07-39
    August 30, 2007
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    Additional Guidance Regarding the OATS Routing Method Code of I and Special Handling Code of ISO
    July 12, 2007
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ARBITRATION & MEDIATION

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