FINRA Regulatory Notices, Rule Filings and Guidance for the Period July 2015 through June 2016
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- How-to guide How-to guide: The appointed representatives regime explained - what it means in practice (UK) Recently updated
- Checklist Checklist: Pre-appointment checks to consider when selecting an appointed representative (UK) Recently updated
- How-to guide How-to guide: The general prohibition – beware the consequences of breach (UK)