FINRA - Rules and Regulations - FINRA Manual Online

FINRA Home
About FINRA
Newsroom

FINRA Global-ID.

Tools
Contacts
Subscriptions

Regulation
Compliance
Education
Enforcement

Help Go

Table of Contents

Advanced Search

Manual Search

FINRA Manual: Contents

Corporate Organization

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

7100. ALTERNATIVE DISPLAY FACILITY/TRACS

7200. TRADE REPORTING FACILITIES

7300. OTC REPORTING FACILITY

7310. Definitions

7320. Trade Reporting Participation Requirements

7330. Trade Report Input

7340. Trade Report Processing

7350. Obligation to Honor Trades

7360. Audit Trail Requirements

7370. Violation of Reporting Rules

7380. Termination of Access

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

9000. CODE OF PROCEDURE

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

Incorporated NYSE Rules

Incorporated NYSE Rule Interpretations

Immediately Effective Rule Changes Pending SEC Notification

Recently Approved Rule Changes Pending Determination of Effective Date

Connected by Complinet

View Whole Section

Location: FINRA Manual > FINRA Rules > 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES > 7300. OTC REPORTING FACILITY

7300. OTC REPORTING FACILITY

View whole section

Contents:

7310. Definitions

7320. Trade Reporting Participation Requirements

7330. Trade Report Input

7340. Trade Report Processing

7350. Obligation to Honor Trades

7360. Audit Trail Requirements

7370. Violation of Reporting Rules

7380. Termination of Access

Sitemap
Privacy
Legal

©2013 FINRA. All rights reserved. FINRA is a trademark of the Financial Industry Regulatory Authority, Inc.