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FINRA Manual: Contents
FINRA Manual
Corporate Organization
Restated Certificate of Incorporation of
Financial Industry Regulatory Authority, Inc.
TRF LLC Agreements
Plan of Allocation and Delegation of Functions by
FINRA
to
FINRA Regulation, Inc.
By-Laws of the Corporation
ARTICLE I DEFINITIONS
ARTICLE II OFFICES
ARTICLE III QUALIFICATIONS OF MEMBERS AND ASSOCIATED PERSONS
ARTICLE IV MEMBERSHIP
ARTICLE V REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS
ARTICLE VI DUES, ASSESSMENTS, AND OTHER CHARGES
ARTICLE VII BOARD OF GOVERNORS
ARTICLE VIII OFFICERS, AGENTS, AND EMPLOYEES
ARTICLE IX COMMITTEES
ARTICLE X COMPENSATION OF BOARD AND COMMITTEE MEMBERS
ARTICLE XI RULES
ARTICLE XII DISCIPLINARY PROCEEDINGS
ARTICLE XIII POWERS OF BOARD TO IMPOSE SANCTIONS
ARTICLE XIV UNIFORM PRACTICE CODE
ARTICLE XV LIMITATION OF POWERS
ARTICLE XVI PROCEDURE FOR ADOPTING AMENDMENTS TO BY-LAWS
ARTICLE XVII CORPORATE SEAL
ARTICLE XVIII CHECKS
ARTICLE XIX ANNUAL FINANCIAL STATEMENT
ARTICLE XX RECORD DATES
ARTICLE XXI MEETINGS OF MEMBERS
ARTICLE XXII TRANSITIONAL PERIOD
Schedule A to the By-Laws of the Corporation
By-Laws of FINRA Regulation, Inc.
FINRA Rules
Capital Acquisition Broker Rules
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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By-Laws of the Corporation
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Contents:
ARTICLE I DEFINITIONS
ARTICLE II OFFICES
Location
Change of Location
ARTICLE III QUALIFICATIONS OF MEMBERS AND ASSOCIATED PERSONS
Persons Eligible to Become Members and Associated Persons of Members
Authority of Board to Adopt Qualification Requirements
Ineligibility of Certain Persons for Membership or Association
Definition of Disqualification
ARTICLE IV MEMBERSHIP
Application for Membership
Similarity of Membership Names
Executive Representative
Membership Roll
Resignation of Members
Retention of Jurisdiction
Transfer and Termination of Membership
Registration of Branch Offices
ARTICLE V REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS
Qualification Requirements
Application for Registration
Notification by Member to the Corporation and Associated Person of Termination; Amendments to Notification
Retention of Jurisdiction
ARTICLE VI DUES, ASSESSMENTS, AND OTHER CHARGES
Power of the Corporation to Fix and Levy Assessments
Reports of Members
Suspension or Cancellation
Reinstatement of Membership or Registration
Delegation
ARTICLE VII BOARD OF GOVERNORS
Powers and Authority of Board
Authority to Cancel or Suspend for Failure to Submit Required Information
Authority to Take Action Under Emergency or Extraordinary Market Conditions
Composition and Qualifications of the Board
Term of Office of Governors
Disqualification
Filling of Vacancies
Meetings of Board; Quorum; Required Vote
The Nominating Committee
Procedure for Nomination of Governors
Communication of Views
Administrative Support
Election of Governors
Maintenance of Compositional Requirements of the Board
Resignation
ARTICLE VIII OFFICERS, AGENTS, AND EMPLOYEES
Officers
Absence of Chief Executive Officer
Agents and Employees
Employment of Counsel
Delegation of Duties of Officers
Resignation and Removal of Officers
Bond
ARTICLE IX COMMITTEES
Appointment
Maintenance of Compositional Requirements of Committees
Removal of Committee Member
Executive Committee
Audit Committee
Finance Committee
Integration Committee
ARTICLE X COMPENSATION OF BOARD AND COMMITTEE MEMBERS
ARTICLE XI RULES
ARTICLE XII DISCIPLINARY PROCEEDINGS
ARTICLE XIII POWERS OF BOARD TO IMPOSE SANCTIONS
ARTICLE XIV UNIFORM PRACTICE CODE
Authority to Adopt Code
Administration of Code
Transactions Subject to Code
ARTICLE XV LIMITATION OF POWERS
Prohibitions
Use of Name of the Corporation by Members
Unauthorized Expenditures
Conflicts of Interest
Municipal Securities
ARTICLE XVI PROCEDURE FOR ADOPTING AMENDMENTS TO BY-LAWS
ARTICLE XVII CORPORATE SEAL
ARTICLE XVIII CHECKS
ARTICLE XIX ANNUAL FINANCIAL STATEMENT
ARTICLE XX RECORD DATES
Fixing of Date by Board
Default Date
Adjournment
ARTICLE XXI MEETINGS OF MEMBERS
Annual Meeting
Special Meetings
Notice of Meeting; Member Business
Inspector
Conduct of Meetings
ARTICLE XXII TRANSITIONAL PERIOD
Powers and Authority of Board
Composition and Qualifications of the Board
Term of Office of Governors
Nominations at the First Annual Meeting Following Closing
Schedule A to the By-Laws of the Corporation
Section 1 — Member Regulatory Fees
Section 2 — Gross Revenue for Assessment Purposes
Section 3 — Regulatory Transaction Fee
Section 4 — Fees
Section 5 — Elimination of Duplicate Assessments and Fees
Section 6 — Assessments and Fees for New Members, Resigning Members and Successor Organizations
Section 7 — Fees for Filing Documents Pursuant to the Corporate Financing Rule
Section 8 — Service Charge for Processing Extension of Time Requests
Section 9 — Subscription Charges for Registration Batch Filing/Data Download Via the Web CRD Electronic File Transfer (EFT) System
Section 10 — Request for Data and Publications
Section 11 — Reserved
Section 12 — Application and Annual Fees for Member Firms with Statutorily Disqualified Individuals
Section 13 — Review Charge for Communications Filed or Submitted
Section 14 —
Accounting Support Fee for Governmental Accounting Standards Board
Section 15 —
Funding Portal Member Fees