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FINRA Rules


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Contents:
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, ORDER, 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