FINRA Manual Updates
Recently updated entries of the FINRA Manual
- FINRA Rules >> 4000. FINANCIAL AND OPERATIONAL RULES >> 4200. MARGIN
- FINRA Rules >> 3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS >> 3100. SUPERVISORY RESPONSIBILITIES
- FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
- Corporate Organization >> By-Laws of the Corporation >> Schedule A to the By-Laws of the Corporation
- Corporate Organization >> By-Laws of the Corporation >> Schedule A to the By-Laws of the Corporation
- IM-1013-3. Membership Application Process for Certain Firms Applying Due to Amended SEA Rule 15b9-1 ( )FINRA Rules >> 1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION >> 1013. New Member Application and Interview