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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
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
9610. Application
9620. Decision
9630. Appeal
9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS
9800. TEMPORARY CEASE AND DESIST ORDERS
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
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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9600. PROCEDURES FOR EXEMPTIONS
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9610. Application
9620. Decision
9630. Appeal
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Corporate Organization
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