Three Quote Rule - finra.org
the three-month period pre-ceding the date of the trans-action. (5) Pursuant to the Rule 9600 Series, the staff, for good cause shown, after taking into consideration all relevant factors, may exempt any transaction or classes of trans-actions, either unconditionally
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Discussion Paper— FINRA Perspectives on …
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www.finra.orgFinancial Industry Regulatory Authority Oversight Rules & Guidance FINRA Home About FINRA Newsroom Compliance Tools Contact Firm Gateway Sign In
15-07 - finra.org
www.finra.orgRegulatory Notice 3 cuR †… 15-07 FINRA does not intend Supplementary Material .01 to be an exhaustive list by which firms can make a reasonable determination of compliance with Section 15(a).
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www.finra.orgIf the self-regulatory organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those
Regulatory Notice 17-30 - finra.org
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