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Page 73 of 79 EXHIBIT 5 Below is the text of the proposed rule change. Proposed new language is underlined; proposed deletions are in brackets. ***** Text of Proposed New FINRA Rule
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Document Date: 2009-12-17 11:15:47


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supervisory systems / /

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NASD / U.S. Securities and Exchange Commission / FINRA / /

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Exception / /

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dealer / broker-dealer / /

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