Tick Size Pilot Program - finra.org
Q11: How will resting GTC orders be handled by Exchanges at the beginning of the pilot for Test Group Securities? A11: NASDAQ, NASDAQ-PSX, and NASDAQ …
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Discussion Paper— FINRA Perspectives on …
www.finra.org2 FINRA Perspectives on Customer Recovery | February 2018 claims that arise from other forums or that are against other types of financial firms. A holistic consideration of how customer recovery is or is not addressed across related areas of financial
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18-16 - finra.org
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www.finra.org4 Disciplinary and Other FINRA Actions ardrr p5o4 State Street Global Markets, LLC (CRD #285852, Boston, Massachusetts) July 11, 2017 – An AWC was issued in which the firm was censured, fined $1,500,000, and
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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.orgThis Guide contains important information about FINRA Office of Dispute Resolution services, policies and procedures. For additional information, please go to our
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www.finra.org3 Report on FINRA Examination Findings | December 2017 Selected Examination Findings As the nature and sophistication of cybersecurity threats continue to …
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Regulatory Notice 17-30 - finra.org
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