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FINRA Requests Comments: Comprehensive Automated Risk Data System (CARDS)

February 21, 2014

FINRA is requesting comment on a concept proposal to develop a new Comprehensive Automated Risk Data System (CARDS), a rule-based program that would allow FINRA to collect on a standardized, automated and regular basis, account information, as well as account activity and security identification information that a firm maintains as part of its books and records. The comment period expires February 21, 2014. See Regulatory Notice 13-42.


February 21, 2014
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