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You are viewing Updates in FINRA Manual
Showing results 1 to 6 of 6
1 - 17-33 Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Effective Date: October 18, 2017 (18 October 2017)
Notices  >> 2017 
2 - 17-32 FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products Effective Date: October 16, 2017 (16 October 2017)
Notices  >> 2017 
3 - 12100. Definitions ( 9 October 2017)
FINRA Rules  >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES  >> PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY 
4 - 13100. Definitions ( 9 October 2017)
FINRA Rules  >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES  >> PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY 
5 - Section 13 — Review Charge for Communications Filed or Submitted ( 5 October 2017)
Corporate Organization  >> By-Laws of the Corporation  >> Schedule A to the By-Laws of the Corporation 
6 - 17-31 FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format Implementation Date: October 5, 2017 ( 5 October 2017)
Notices  >> 2017 
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