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Regulatory Guidance

Regulatory Guidance

FIA frequently issues guidance on key issues related to the implementation of new regulations. The guidance is intended to help member firms meet their regulatory obligations, establish a standard for members to judge the appropriateness of their policies and procedures, and clarify the obligations and responsibilities that market participants have to one another. FIA also has issued guidance to address frequently asked questions and provide clear explanations to customers. 

In addition to the resources here, FIA maintains a US Documentation Library containing regulatory guidance of interest to US-based members and firms.

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