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FAQ

How do I use the guide?

This guide is presented as a list of frequently asked questions that cover the most important aspects of the service and the features that you may use everyday.

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Manual

How do I find a particular section of the Manual?

There are three ways to find a particular section of the Manual.

  1. If you know which part of the Manual you need, choose the relevant section on the Rules panel on the homepage. Then navigate through the Manual using the contents listed in the left hand navigation tree.
  2. If you do not know which section a particular rule is located, click on the 'Manual Search' or the 'Advanced Search' link at the top of the screen. Please see below for further information on using the Search.
  3. If you know the rule number or the particular Notice to Member, you can use the dedicated search boxes for these two items on the homepage. Simply enter the rule number or Notice to Member reference exactly, click the arrow button next to the box and the screen will display all those that match. Then click on the title to view the content.

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How do I know where I am within a Manual?

As you move through the manual there are two ways in which you can keep track of where you are within that book:

  1. The left hand navigation tree will always show your current location bolded in black.
  2. You can see your location by following the breadcrumbs.

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How do I find sections that contain a particular word or phrase?

You can find rules or sections which contain keywords or phrases by using the search facility. Select 'Advanced Search' from the top menu.

Searching for a phrase or keyword

Below are various options to perform your search.

  1. Enter the terms you want to search for in the boxes provided.
  2. Restrict to: Select the sections in which you would like to restrict your search. Click the box to search all chapters or select multiple sections by holding down the CTRL key while clicking multiple rule sections.
  3. Order by: You can order your results by relevance i.e. how frequently your search term appears in each section; by chapter i.e. grouping the results by chapter and then ordering them by relevance.
  4. Show results: Use the drop down box to choose the number of results to display on each screen.
  5. View results: On clicking the 'Search' button the results will be displayed in the same window. Click on a result to view that section with the search terms highlighted.
  6. Search again: To return to your search use the back button on your computer.

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How can I print sections of the Manual?

Go to any section of the Manual you wish to print and select the print option.

You can print in two ways:

  1. Using the simple 'Print' function

    You may print the section displayed in your text screen by clicking the 'Print' button at the top of the page. For best results, do not use the print button on your browser or 'CTRL-P'.

  2. Using the 'Print Manager'

    You can build a print report by selecting different sections of the Manual. Move sections into your print document by using the arrows.

    Remember that a 'section' may simply be chapter heading so you will need to build up your print document using each individual element of a rule.

    Once you have selected 'Print Preview' the whole text of this document will appear in a new window.

    You can then elect to print or go back to the print manager to add or delete further sections.

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UPDATES

Can I see where the Manual has been updated?

There are two ways to view updates.

  1. On the Manual homepage you will see a blue box that is a link to 'View Recent Updates' which will show you the last 30 days of updates.
  2. Once you are browsing the Manual you may view updates by clicking on the 'View Updates' button which appears on the menu at the top of the screen.
  3. To change the updates you are viewing, use the 'View Updates' panel. This allows you to select Updates by chapter and display results by date or chapter.

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Can I view rules that are approved by the SEC but are not yet effective?

As the Manual is updated the site will, by default, show the latest version of that rule but future versions (those rules that are approved by the SEC but are not yet effective).

If such an update exists, a 'Future Versions' box will appear on the right hand side of the text screen. Click on the title or arrow in this to open the list of Updates. The current version is indicated by a small red dot.

When you are viewing a future version you will see a warning message: This version of the rule (or interpretive material) does not become effective until ...

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Whom do I contact to get more information?

FINRA Helpdesk (301) 590-6500

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