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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
7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES
8000. INVESTIGATIONS AND SANCTIONS
8100. GENERAL PROVISIONS
8200. INVESTIGATIONS
8300. 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
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8000. INVESTIGATIONS AND SANCTIONS
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8000. INVESTIGATIONS AND SANCTIONS
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Contents:
8100. GENERAL PROVISIONS
8110. Availability of Manual to Customers
8120. Definitions
8200. INVESTIGATIONS
8210. Provision of Information and Testimony and Inspection and Copying of Books
8211. Automated Submission of Trading Data Requested by FINRA
8213. Automated Submission of Trading Data for Non-Exchange-Listed Securities Requested by FINRA
8300. SANCTIONS
8310. Sanctions for Violation of the Rules
8320. Payment of Fines, Other Monetary Sanctions, or Costs; Summary Action for Failure to Pay
8330. Costs of Proceedings
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Corporate Organization
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