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FINRA Rules
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- 0100. General Standards
- 1000. Member Application and Associated Person Registration
- 2000. Duties and Conflicts
- 3000. Supervision and Responsibilities Relating to Associated Persons
- 4000. Financial and Operational Rules
- 5000. Securities Offering and Trading Standards and Practices
- 6000. Quotation, Order, and Transaction Reporting Facilities
- 7000. Clearing, Transaction and Order Data Requirements, and Facility Charges
- 8000. Investigations and Sanctions
- 9000. Code of Procedure
- 11000. Uniform Practice Code
- 12000. Code of Arbitration Procedure for Customer Disputes
- 13000. Code of Arbitration Procedure for Industry Disputes
- 14000. Code of Mediation Procedure