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FINRA Manual: Contents
FINRA Manual
Corporate Organization
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
6100. QUOTING AND TRADING IN NMS STOCKS
6200. ALTERNATIVE DISPLAY FACILITY
6300. TRADE REPORTING FACILITIES
6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES
6500. OTC BULLETIN BOARD® SERVICE
6600. OTC REPORTING FACILITY
6610. General
6620. Reporting Transactions in OTC Equity Securities
6630. Reporting Transactions in PORTAL® Securities
6640. Reporting Transactions in Direct Participation Program Securities
6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES
8000. INVESTIGATIONS AND SANCTIONS
9000. CODE OF PROCEDURE
10000. CODE OF ARBITRATION PROCEDURE
12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
14000. CODE OF MEDIATION PROCEDURE
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
Connected by Complinet
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6600. OTC REPORTING FACILITY
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6600. OTC REPORTING FACILITY
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Contents:
6610. General
6620. Reporting Transactions in OTC Equity Securities
6621. Definitions
6622. Transaction Reporting
6623. Timely Transaction Reporting
6624. Trade Reporting of Short Sales
6630. Reporting Transactions in PORTAL® Securities
6631. Definitions
6632. Limitations on Transactions in PORTAL Securities
6633. Reporting Debt and Equity Transactions in PORTAL Securities
6634. Arbitration
6635. FINRA Rules
6640. Reporting Transactions in Direct Participation Program Securities
6641. General
6642. Definitions
6643. Transaction Reporting
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FINRA Manual
FINRA Manual
Corporate Organization
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