Each member shall establish written procedures that are appropriate to its business, size, structure, customers for the review by an appropriately qualified.,
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The Tick Size Pilot Plan Plan was approved by the Securities and Exchange CommissionSEC) on May 6, 2015 This document. 14 51 FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non Member Broker Dealers in Order Audit Trail SystemOATS) Reports and the.
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