4000. FINANCIAL AND OPERATIONAL RULES
- 4100. FINANCIAL CONDITION
- 4200. MARGIN
- 4300. OPERATIONS
- 4310. Member Agreements and Contracts
- 4311. Carrying Agreements
- 4314. Securities Loans and Borrowings
- 4320. Short Sale Delivery Requirements
- 4330. Customer Protection — Permissible Use of Customers' Securities
- 4340. Callable Securities
- 4360. Fidelity Bonds
- 4370. Business Continuity Plans and Emergency Contact Information
- 4380. Mandatory Participation in FINRA BC/DR Testing Under Regulation SCI
- 4500. BOOKS, RECORDS AND REPORTS
- 4510. Books and Records Requirements
- 4511. General Requirements
- 4512. Customer Account Information
- 4513. Records of Written Customer Complaints
- 4514. Authorization Records for Negotiable Instruments Drawn From a Customer's Account
- 4515. Approval and Documentation of Changes in Account Name or Designation
- 4517. Member Filing and Contact Information Requirements
- 4518. Notification to FINRA in Connection with the JOBS Act
- 4520. Financial Records and Reporting Requirements
- 4521. Notifications, Questionnaires and Reports
- 4522. Periodic Security Counts, Verifications and Comparisons
- 4523. Assignment of Responsibility for General Ledger Accounts and Identification of Suspense Accounts
- 4524. Supplemental FOCUS Information
- 4530. Reporting Requirements
- 4540. Reporting Requirements for Clearing Firms
- 4550. ATS Reporting
- 4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures
- 4554. Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks
- 4560. Short-Interest Reporting
- 4570. Custodian of Books and Records
- 4580. Books and Records Requirements for Government Distribution and Solicitation Activities
- 4590. Synchronization of Member Business Clocks
- Regulatory Notice 16-37October 17, 2016
- Regulatory Notice 14-09February 26, 2014