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FINRA Utility Menu

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For Industry Professionals

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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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  1. Rules & Guidance
  2. Notices
  3. Regulatory Notice 21-19
EXPLORE THIS SECTION

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Anonymous-PW Comment On Regulatory Notice 21-19
Anonymous-PW
N/A

Daily reporting for short sales. Fails to deliver result in 150% fine paid to the purchaser of stock that was failed to deliver.

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