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The Securities and Exchange Commission (SEC) has approved two rules proposed by the Financial Industry Regulatory Authority (FINRA) which will benefit investors. The new rules, FINRA Rule 2090 and FINRA Rule 2111, take effect in October 2011. As FINRA states in its Regulatory Notice 11-02, the new rules "retain the core features" of the current rules and "at the same time strengthen, streamline and clarify them." Let's examine the important aspects of the new rules.
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