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FINRA Utility Menu

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FINRA DATA

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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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  1. Rules & Guidance
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EXPLORE THIS SECTION

FINRA Main Navigation

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Reg BI - Rules

Form CRS Instructions

17 CFR 240.15l-1
Regulation Best Interest

17 CFR 240.17a-3
Records to Be Made by Certain Exchange Members, Brokers and Dealers

17 CFR 240.17a-4
Records to Be Preserved by Certain Exchange Members, Brokers and Dealers

17 CFR 240.17a-14
Form CRS, for Preparation, Filing and Delivery of Form CRS

17 CFR 249.641
Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, Pursuant to §240.17a-14 of This Chapter

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