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SEC Regulation Best Interest (Reg BI) Overview Rules Notices Media News Releases Investor Education The SEC's Regulation…

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Uniform Practice Code (UPC)

July 1, 2019

Uniform Practice Code (UPC) Overview Rules Notices Guidance News Releases Investor Education…

Filing and Reporting

Trade Reporting Facility (TRF)

Trade Reporting Facility (TRF) Overview Rules Notices Guidance News Releases Investor Education…

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FinTech

June 4, 2019

FinTech Overview Key Topics News & Reports Events Committee FINRA’s Office of Financial Innovation (OFI) is the central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new uses of financial technology (FinTech). To…

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Cybersecurity

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Funding Portals

Funding Portals Overview Rules Notices Guidance News Releases Investor Education…

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Research Analyst Rules

Research Analyst Rules Overview Rules Notices Guidance News Releases Investor Education…

Filing and Reporting

Over-the-Counter Reporting Facility (ORF)

Over-the-Counter Reporting Facility (ORF) Overview Rules Notices Guidance News Releases Investor Education…

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Mergers, Acquisitions and Business Transfers

Mergers, Acquisitions and Business Transfers Overview Rules Notices Guidance News Releases Investor Education…

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Mutual Funds

Mutual Funds Overview Rules Notices Guidance News Releases Investor Education…

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