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Comment Period Ends on the Effectiveness and Efficiency of FINRA Membership Application Rules

May 14, 2015

FINRA is conducting a retrospective review of the membership application rules to assess their effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with these specific rules.  The comment period expires May 14, 2015.


May 14, 2015
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