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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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What is sr-finra-013 - text of?

sr-finra-013 refers to the form used by FINRA to report certain events or situations.

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FINRA member firms are required to file sr-finra-013.

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sr-finra-013 can be filled out electronically through FINRA's online portal.

What is the purpose of sr-finra-013 - text of?

The purpose of sr-finra-013 is to ensure transparency and compliance within the financial industry.

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sr-finra-013 requires the reporting of specific events such as customer complaints, regulatory actions, or changes in ownership.

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