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FINRA Manual: Contents
FINRA Manual
Corporate Organization
FINRA Rules
Capital Acquisition Broker Rules
010.
GENERAL STANDARDS
100.
MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
200.
DUTIES AND CONFLICTS
201.
Standards of Commercial Honor and Principles of Trade
202.
Use of Manipulative, Deceptive or Other Fraudulent Devices
203.
Engaging in Distribution and Solicitation Activities with Government Entities
204.
Payments to Unregistered Persons
207.
Transactions Involving FINRA Employees
208.
Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System
209.
Know Your Customer
211.
Suitability
221.
Communications with the Public
226.
Arbitration Requirements
240.
Engaging in Impermissible Activities
300.
SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED
400.
FINANCIAL AND OPERATIONAL RULES
500.
SECURITIES OFFERINGS
800.
Investigations and Sanctions
900.
Code of Procedure
1000.
Arbitration and Mediation
Funding Portal Rules
NASD® Rules
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
Incorporated NYSE Rules
Incorporated NYSE Rule Interpretations
Retired Rules
Notices
Immediately Effective Rule Changes Pending Issuance of a Regulatory Notice
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200.
DUTIES AND CONFLICTS
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201.
Standards of Commercial Honor and Principles of Trade
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201.
Standards of Commercial Honor and Principles of Trade
All capital acquisition brokers are subject to FINRA
Rule 2010
.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice:
16-37
.
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