Skip to main content

FINRA Utility Menu

About FINRA
Careers
BrokerCheck
Data
Media Center
For Firms
Contact Us

Log In

For the Public

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

For Industry Professionals

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

For Member Firms

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

For Case Participants

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

Need Help? | Check Systems Status

Log In to other FINRA systems

Rules & Guidance
Registration, Exams & CE
Events & Training
Filing & Reporting
Compliance Tools
For Investors

Retired Rules
Retired NASD® Rules
CONDUCT RULES (2000–3000)
3000. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES

EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

FINRA Manual
- Updates
Interpreting the Rules
The Rulemaking Process
Enforcement
Adjudication & Decisions
- National Adjudicatory Council (NAC)
- Office of Hearing Officers (OHO)

3300. TRADING

The Rule Notices Guidance News Releases FAQs

No Results Found

No Results Found

No Results Found

No Results Found

3310. Publication of Transactions and Quotations

IM-3310. Manipulative and Deceptive Quotations

3320. Offers at Stated Prices

IM-3320. Firmness of Quotations

3330. Payment Designed to Influence Market Prices, Other than Paid Advertising

3340. Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts

3360. Short-Interest Reporting

3370. Purchases

3380. Order Entry and Execution Practices

Book traversal links for 3300. TRADING

‹ 3230. Clearing Agreements
Up
3310. Publication of Transactions and Quotations ›

Versions

Disclaimer: The summary and detailed topics are only available for 40 FINRA Rules and have been applied as part of the FINRA Rulebook Search Tool™ (FIRST™) prototype. FIRST is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. Usage or reliance on this tool is not a defense to a failure to comply with the FINRA rules. Learn More

Summary Topics

Detailed Topics

FINRA Main Navigation

Rules & Guidance
Registration, Exams & CE
Events & Training
Filing & Reporting
Compliance Tools
For Investors

FINRA Utility Menu

About FINRA
Careers
BrokerCheck
Data
Media Center
For Firms
Contact Us

ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States

General Inquiries

301-590-6500

Securities Helpline for Seniors^®

844-574-3577 (Mon-Fri 9am-5pm ET)

File a Regulatory Tip

To report on abuse or fraud in the industry

File an Investor Complaint

File a complaint about fraud or unfair practices.

Small Firm Help Line

833-26-FINRA (Mon-Fri 9am-6pm ET)

Office of the Ombuds

Report a concern about FINRA at 888-700-0028

Footer Legal Links

Site Map
Privacy Policy
Terms of Use

Footer Legal 2

Translate
Contact

© FINRA. All Rights Reserved.

FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.