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You are viewing Updates in FINRA Manual
Showing results 1 to 8 of 8
1 - 12600. Required Hearings (17 September 2018)
FINRA Rules  >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES  >> PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD 
2 - 12800. Simplified Arbitration (17 September 2018)
FINRA Rules  >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES  >> PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS 
3 - 13600. Required Hearings (17 September 2018)
FINRA Rules  >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES  >> PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD 
4 - 13800. Simplified Arbitration (17 September 2018)
FINRA Rules  >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES  >> PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; AND INJUNCTIVE RELIEF 
5 - 18-31 SEC Staff Issues Guidance on Third-Party Recordkeeping Services (14 September 2018)
Notices  >> 2018 
6 - 18-30 Enhancements to the REX System and Updates to Data and Other Requirements Applicable to Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3 (13 September 2018)
Notices  >> 2018 
7 - 18-29 FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis (12 September 2018)
Notices  >> 2018 
8 - 18-28 FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA's Website; Comment Period Expires: November 12, 2018 (11 September 2018)
Notices  >> 2018 
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