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Eligible individuals enroll in FINRA’s Maintaining Qualifications Program (MQP), the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for Broker-Dealer Agents (AG EVEP), or NASAA's EVEP for Investment Adviser Representatives (IAR EVEP) via FinPro. Learn more about accessing FinPro and view a selection of user guides detailing how to enroll in the
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Expand All | Collapse All0100. General Standards1000. Member Application and Associated Person Registration2000. Duties and Conflicts3000. Supervision and Responsibilities Relating to Associated Persons4000. Financial and Operational Rules5000. Securities Offering and Trading Standards and Practices6000. Quotation, Order, and Transaction Reporting Facilities7000. Clearing, Transaction and
FINRA's latest news releases, podcasts, reports and studies, and more.
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Expand All | Collapse All0100. General Standards0110. Adoption of Rules0120. Effective Date0130. Interpretation0140. Applicability0150. Application of Rules to Exempted Securities Except Municipal Securities0151. Coordination with the MSRB0160. Definitions0170. Delegation, Authority and Access0180. Application of Rules to Security-Based Swaps0190. Effective Date of Revocation, Cancellation
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