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OMB APPROVAL OMB Number: 32350045 Estimated average burden hours per response............38Required fields are shown with yellow backgrounds and asterisks. SECURITIES AND EXCHANGE COMMISSION File
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SR-FINRA-028 is a filing related to regulatory requirements of the Financial Industry Regulatory Authority (FINRA), specifically addressing certain compliance obligations for member firms.
All member firms of FINRA that are subject to the outlined regulatory requirements must file SR-FINRA-028.
To fill out SR-FINRA-028, firms must follow the instructions provided in the official filing guidelines available on the FINRA website, which typically includes providing specific data, maintaining accurate records, and submitting the form via the designated electronic platform.
The purpose of SR-FINRA-028 is to ensure compliance with regulatory standards and to enhance transparency and accountability among financial firms.
SR-FINRA-028 typically requires firms to report information related to their financial status, compliance records, and any other pertinent data as specified in the official guidelines.
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