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  • Rules & Guidance
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      2. R&G section 2
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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Guidance
  • 2019 Exam Findings Report
    Direct Market Access Controls
    October 16, 2019
  • 2018 Exam Findings Report
    Market Access Controls
    December 07, 2018
  • 2017 Exam Findings Report
    Market Access Controls
    December 06, 2017
  • Targeted Examination Letter
    Targeted Examination Letter on Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA")
    August 01, 2010

           

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ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
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General Inquiries

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