Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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Hanover Research provides high-quality research & analytics through a cost-effective subscription model that helps executives make informed decisions, identify and seize opportunities, and heighten their effectiveness.

This rule is no longer applicable. NASD Rule 12407 has been superseded by FINRA Rule 12407. Please consult the appropriate FINRA Rule.

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Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

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The Customer Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Customer Code will apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new Code.

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

Hanover Research provides high quality, custom research and analytics through a cost-effective model that helps clients in the corporate, education, and healthcare sectors make informed decisions, identify and seize opportunities, and heighten their effectiveness.

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Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.