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Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System · 2090. Know Your Customer.
(a) The terms used in the Rules, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws, unless a term is defined differently in
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance
(C) name(s) of the associated person(s), if any, responsible for the account, and if multiple individuals are assigned responsibility for the account, a record
Records of Written Customer Complaints. 4514. Authorization Records for Negotiable Instruments Drawn From a Customer's Account. 4515. Approval and
MEMBERSHIP AND REGISTRATION RULES (1000). CONDUCT RULES (2000–3000). Immediately Effective Rule Changes Pending SEC Notification. Recently
FINRA Manual. View whole section. Contents: Corporate Organization. Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
content, such as forms, committee lists and the list of members, can be found on finra.org · View Recent Updates Feedback? Powered by Complinet
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