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FINRA Manual: Contents
FINRA Manual
Corporate Organization
FINRA Rules
NASD Rules
GENERAL PROVISIONS (0100)
MEMBERSHIP AND REGISTRATION RULES (1000)
CONDUCT RULES (2000–3000)
PROCEDURAL RULES (8000–14000)
11000. UNIFORM PRACTICE CODE
11100. SCOPE OF UNIFORM PRACTICE CODE
11200. COMPARISONS OR CONFIRMATIONS AND "DON'T KNOW NOTICES"
11300. DELIVERY OF SECURITIES
11310. Book-Entry Settlement
11320. Dates of Delivery
11330. Payment
11340. Stamp Taxes
11350. Part Delivery
11360. Units of Delivery
IM-11360. Uniform Delivery Ticket Form
11361. Units of Delivery — Stocks
11362. Units of Delivery — Bonds
11363. Units of Delivery — Unit Investment Trust Securities
11364. Units of Delivery — Certificates of Deposit for Bonds
11400. DELIVERY OF SECURITIES WITH DRAFT ATTACHED
11500. DELIVERY OF SECURITIES WITH RESTRICTIONS
11600. DELIVERY OF BONDS AND OTHER EVIDENCES OF INDEBTEDNESS
11700. RECLAMATIONS AND REJECTIONS
11800. CLOSE-OUT PROCEDURES
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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PROCEDURAL RULES (8000–14000)
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11360. Units of Delivery
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11360. Units of Delivery
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Contents:
IM-11360. Uniform Delivery Ticket Form
11361. Units of Delivery — Stocks
11362. Units of Delivery — Bonds
11363. Units of Delivery — Unit Investment Trust Securities
11364. Units of Delivery — Certificates of Deposit for Bonds
IM-11364. Trading Securities As "Units" or Bonds "With Stock"
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FINRA Manual
Corporate Organization
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