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FINRA | FINRA
20200218
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0100: GENERAL STANDARDS
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1000: MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
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2000: DUTIES AND CONFLICTS
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3000: SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
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4000: FINANCIAL AND OPERATIONAL RULES
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5000: SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES
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6000: QUOTATION
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7000: CLEARING
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8000: INVESTIGATIONS AND SANCTIONS
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9000: CODE OF PROCEDURE
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10000: CODE OF ARBITRATION PROCEDURE
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11000: UNIFORM PRACTICE CODE
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12000: CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
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13000: CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
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14000: CODE OF MEDIATION PROCEDURE
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