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FINRA Adjusts OTC Manning

Traders Magazine, October 2007

Peter Chapman

One size does not fit all. That's what the Financial Industry Regulatory Authority (FINRA) discovered when it set out to adapt its Manning rules to over-the-counter trading. Dealers complained that rules designed for the listed markets would unfairly pinch their bottom lines when trading certain OTC names. So FINRA made some adjustments.

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