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FINRA Utility Menu

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

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  1. Rules & Guidance
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Immediately Effective Rule Changes Pending SEC Notification
SR-FINRA-2024-016
  • Executive Representative
  • 5320. Prohibition Against Trading Ahead of Customer Orders
  • 6110. Trading Otherwise than on an Exchange
  • 6120. Trading Halts
  • 6121. Trading Halts Due to Extraordinary Market Volatility
  • 6140. Other Trading Practices
  • 6182. Trade Reporting of Short Sales
  • 6183. Exemption from Trade Reporting Obligation for Certain Alternative Trading Systems
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  • 6810. Definitions
  • 7110. Definitions
  • 7230A. Trade Report Input
  • 9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)

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