The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
Our Corporate Organization
Over time, FINRA has undergone organizational transformations that have required formal administrative updates, including by-laws, Trade Reporting Facility (TRF) agreements and more.
Explore the full FINRA Manual below.
- FINRA Rules
- Capital Acquisition Broker Rules
- Funding Portal Rules
- SEC Rules and Regulations
- Temporary Dual FINRA-NYSE Member Rule Series
- Immediately Effective Rule Changes Pending Issuance of a Regulatory Notice
- Immediately Effective Rule Changes Pending SEC Notification
- Approved Rule Changes Pending Determination of Effective Date
- Retired Rules