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4000. FINANCIAL AND OPERATIONAL RULES
4500. BOOKS, RECORDS AND REPORTS

4550. ATS Reporting

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4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures

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‹ 4540. Reporting Requirements for Clearing Firms
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4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures ›

Disclaimer: The summary and detailed topics are only available for 40 FINRA Rules and have been applied as part of the FINRA Rulebook Search Tool™ (FIRST™) prototype. FIRST is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. Usage or reliance on this tool is not a defense to a failure to comply with the FINRA rules. Learn More

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