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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
2010. Standards of Commercial Honor and Principles of Trade
2020. Use of Manipulative, Deceptive or Other Fraudulent Devices
2070. Transactions Involving FINRA Employees
2080. Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD
)
System
2100.
TRANSACTIONS WITH CUSTOMERS
2200.
COMMUNICATIONS AND DISCLOSURES
2300. SPECIAL PRODUCTS
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
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
Connected by Complinet
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2000. DUTIES AND CONFLICTS
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2000. DUTIES AND CONFLICTS
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Contents:
2010. Standards of Commercial Honor and Principles of Trade
2020. Use of Manipulative, Deceptive or Other Fraudulent Devices
2070. Transactions Involving FINRA Employees
2080. Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD
)
System
2100.
TRANSACTIONS WITH CUSTOMERS
2110.
Recommendations
2120.
Commissions, Mark Ups and Charges
2140. Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes
2150.
Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts
2200.
COMMUNICATIONS AND DISCLOSURES
2220. Options Communications
2260.
Disclosures
2300. SPECIAL PRODUCTS
2310. Direct Participation Programs
2320. Variable Contracts of an Insurance Company
2340.
Investment Companies
2350. Trading in Index Warrants, Currency Index Warrants and Currency Warrants
2360. Options
2370. Security Futures
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FINRA Manual
Corporate Organization
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