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FINRA Regulatory Notice 10-25
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals; Comment Period Expires: July 12, 2010
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FINRA Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
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Regulatory Notice 10-20
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
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Regulatory Notice 10-21
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
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