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NPR Number 1175 NPR Title Revisions to Market Entry Financial Qualifications and Continued Participation Requirements Date of Decision August 31, 2024 Action Recommended Approval Timeline Normal Proposed
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Who needs regulatory notice 20-18finraorg?

01
Regulatory notice 20-18finraorg is applicable to individuals, organizations, or entities that fall under the jurisdiction of the Financial Industry Regulatory Authority (FINRA) and are subject to its regulations.
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This notice may be relevant to registered brokers, brokerage firms, financial advisors, and other participants in the securities industry who need to stay informed about regulatory updates and comply with the specified requirements.
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It is important to check whether you are directly affected by this notice or should consult a legal professional or compliance officer to determine its applicability to your situation.

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Regulatory Notice 20-18 is a guideline published by FINRA outlining amendments to rules affecting the reporting requirements for member firms.
All registered broker-dealers and member firms under FINRA are required to comply with the provisions set forth in Regulatory Notice 20-18.
Filling out Regulatory Notice 20-18 involves providing specific required information as outlined in the notice, including firm details, compliance status, and any relevant certifications.
The purpose of Regulatory Notice 20-18 is to enhance transparency and compliance in the reporting processes of member firms concerning their business practices.
Firms must report information such as operational changes, compliance measures, and any significant events impacting their business that align with the requirements stated in the notice.
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