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FINRA Manual: Contents
FINRA Manual
Corporate Organization
FINRA Rules
NASD Rules
Incorporated NYSE Rules
Incorporated NYSE Rule Interpretations
Notices
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
Retired Rules
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Contents:
Corporate Organization
Restated Certificate of Incorporation of
Financial Industry Regulatory Authority, Inc.
TRF LLC Agreements
Plan of Allocation and Delegation of Functions by NASD to Subsidiaries
By-Laws of the Corporation
By-Laws of FINRA Regulation, Inc.
By-Laws of
FINRA
Dispute Resolution, Inc.
FINRA Rules
0100. GENERAL STANDARDS
1000.
MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
2000. DUTIES AND CONFLICTS
3000.
SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
4000.
FINANCIAL AND OPERATIONAL RULES
5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES
6000. QUOTATION AND TRANSACTION REPORTING FACILITIES
7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES
8000. INVESTIGATIONS AND SANCTIONS
9000. CODE OF PROCEDURE
10000. CODE OF ARBITRATION PROCEDURE
11000.
UNIFORM PRACTICE CODE
12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
14000. CODE OF MEDIATION PROCEDURE
NASD Rules
GENERAL PROVISIONS (0100)
MEMBERSHIP AND REGISTRATION RULES (1000)
CONDUCT RULES (2000–3000)
PROCEDURAL RULES (8000–14000)
Incorporated NYSE Rules
General Rules (Rules 1–38)
Dealings and Settlements (Rules 45–299C)
Admission of Members (Rules 300–324)
Operation of Member Organizations (Rules 325–465)
Communications with the Public (Rules 471–474B)
Incorporated NYSE Rule Interpretations
Rule 10 "Registered Representative"
Rule 296 Liquidation of Securities Loans and Borrowings
Rule 311 Formation and Approval of Member Organizations
Rule 319 Fidelity Bonds
Rule 342 Offices — Approval, Supervision and Control
Rule 343 Offices — Sole Tenancy, Hours, Display of Membership Certificates
Rule 344 Research Analysts and Supervisory Analysts
Rule 345 Employees — Registration, Approval, Records
Rule 345A Continuing Education for Registered Persons
Rule 346 Limitations — Employment and Association with Member Organizations
Rule 351 Reporting Requirements
Rule 375 Missing the Market
Rule 382 Carrying Agreements
Rule 387 COD Orders
Rule 401 Business Conduct
Rule 402 Customer Protection — Reserves and Custody of Securities
Rule 405 Diligence as to Accounts
Rule 407 Transactions — Employees of Member Organizations and the Exchange
Rule 408 Discretionary Power in Customers' Accounts
Rule 409 Statements of Accounts to Customers
Rule 410 Records of Orders
Rule 430 Partial Delivery of Securities to Customers on C.O.D. Purchases
Rule 431 Margin Requirements
Rule 435(5) Circulation of Rumors
Rule 440.20 Suspense Accounts
Rule 440A Telephone Solicitation
Rule 472 Communications with the Public
Notices
2010
2009
2008
2007
2006
2005
2004
2003
2002
2001
2000
1999
1998
1997
1996
1995
1994
1993
1992
1991
1990
1989
1988
1987
1986
1985
1984
1983
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
SR-FINRA-2010-029
SR-FINRA-2010-026
SR-FINRA-2010-024
SR-FINRA-2010-006
SR-FINRA-2009-054
SR-FINRA-2009-042
Retired Rules
Retired NASD Rules
Retired NYSE Rules
Retired NYSE Rule Interpretations
Help
FINRA Manual
Corporate Organization
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