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      2. R&G section 2
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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  • The Rulemaking Process
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Guidance
  • FAQ
    FINRA Rule 2111 (Suitability) FAQ
  • 2019 Exam Findings Report
    Suitability
    October 16, 2019
  • 2018 Exam Findings Report
    Suitability for Retail Customers
    December 07, 2018
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    Targeted Examination Letter on VIX-Linked Product Review
    April 09, 2018
  • 2017 Exam Findings Report
    Product Suitability
    December 06, 2017
  • Guidance
    Regulatory Notice 13-31
    September 25, 2013
  • Interpretive Letter
    Interpretive Letter to Brian Sweeney, Trustmont Financial Group, Inc.
    August 26, 2013
  • Guidance
    Regulatory Notice 12-55
    December 10, 2012
  • Guidance
    Regulatory Notice 12-25
    May 18, 2012
  • Notice
    Regulatory Notice 11-39
    August 18, 2011
  • Guidance
    Regulatory Notice 11-25
    May 18, 2011
  • Notice
    Regulatory Notice 10-22
    April 20, 2010
  • Guidance
    Regulatory Notice 07-43
    September 10, 2007
  • Interpretive Letter
    Interpretive Letter to Name Not Public
    March 04, 1997
  • Interpretive Letter
    Interpretive Letter to Stuart J. Kaswell, SIA
    January 23, 1997
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ARBITRATION & MEDIATION

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