FINRA - Rules and Regulations - FINRA Manual Online

FINRA Global-ID.

Help Go

Table of Contents

Advanced Search

Manual Search

View Whole Section

Location: FINRA Manual > FINRA Rules

FINRA Rules

View whole section

Contents:

0100. GENERAL STANDARDS

0110. Adoption of Rules

0120. Effective Date

0130. Interpretation

0140. Applicability

0150. Application of Rules to Exempted Securities Except Municipal Securities

0160. Definitions in FINRA By-Laws

0170. Delegation, Authority and Access

1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION

1010. Electronic Filing Requirements for Uniform Forms

1100. MEMBER APPLICATION

2000. DUTIES AND CONFLICTS

2010. Standards of Commercial Honor and Principles of Trade

2020. Use of Manipulative, Deceptive or Other Fraudulent Devices

2070. Transactions Involving FINRA Employees

2080. Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System

2100. TRANSACTIONS WITH CUSTOMERS

2200. COMMUNICATIONS AND DISCLOSURES

2300. SPECIAL PRODUCTS

3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS

3100. SUPERVISORY RESPONSIBILITIES

3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS

3300. ANTI-MONEY LAUNDERING

4000. FINANCIAL AND OPERATIONAL RULES

4300. OPERATIONS

4500. BOOKS, RECORDS AND REPORTS

5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES

5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION

5200. QUOTATION AND TRADING OBLIGATIONS 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

6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)

7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES

7100. ALTERNATIVE DISPLAY FACILITY/TRACS

7200. TRADE REPORTING FACILITIES

7300. OTC REPORTING FACILITY

7400. ORDER AUDIT TRAIL SYSTEM

7500. CHARGES FOR ALTERNATIVE DISPLAY FACILITY SERVICES AND EQUIPMENT

7600. CHARGES FOR TRADE REPORTING FACILITY SERVICES

7700. CHARGES FOR OTC REPORTING FACILITY, OTC BULLETIN BOARD AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES

8000. INVESTIGATIONS AND SANCTIONS

8100. GENERAL PROVISIONS

8200. INVESTIGATIONS

8300. SANCTIONS

9000. CODE OF PROCEDURE

9100. APPLICATION AND PURPOSE

9200. DISCIPLINARY PROCEEDINGS

9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW

9500. OTHER PROCEEDINGS

9600. PROCEDURES FOR EXEMPTIONS

9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS

9800. TEMPORARY CEASE AND DESIST ORDERS

10000. CODE OF ARBITRATION PROCEDURE

10100. ADMINISTRATIVE PROVISIONS

10200. INDUSTRY AND CLEARING CONTROVERSIES

10300. UNIFORM CODE OF ARBITRATION

12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

PART II GENERAL ARBITRATION RULES

PART III INITIATING AND RESPONDING TO CLAIMS

PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS

PART V PREHEARING PROCEDURES AND DISCOVERY

PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD

PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD

PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS

PART IX FEES AND AWARDS

13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

PART II GENERAL ARBITRATION RULES

PART III INITIATING AND RESPONDING TO CLAIMS

PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS

PART V PREHEARING PROCEDURES AND DISCOVERY

PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD

PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD

PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; AND INJUNCTIVE RELIEF

PART IX FEES AND AWARDS

14000. CODE OF MEDIATION PROCEDURE

14100. Definitions

14101. Applicability of Code

14102. National Arbitration and Mediation Committee

14103. Director of Mediation

14104. Mediation under the Code

14105. Effect of Mediation on Arbitration Proceedings

14106. Representation of Parties

14107. Mediator Selection

14108. Limitation on Liability

14109. Mediation Ground Rules

14110. Mediation Fees