For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Manual Updates

Recently updated entries of the FINRA Manual

  • Section 4 — Fees ( )
    Corporate Organization >> By-Laws of the Corporation >> Schedule A to the By-Laws of the Corporation
  • Section 1 — Member Regulatory Fees ( )
    Corporate Organization >> By-Laws of the Corporation >> Schedule A to the By-Laws of the Corporation
  • 7330. Trade Report Input ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7300. OTC REPORTING FACILITY
  • 6622. Transaction Reporting ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6600. OTC REPORTING FACILITY >> 6620. Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
  • 6380B. Transaction Reporting ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES >> 6300B. FINRA/NYSE TRADE REPORTING FACILITY
  • 7130. Trade Report Input ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7100. ALTERNATIVE DISPLAY FACILITY
  • 7230B. Trade Report Input ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7200. TRADE REPORTING FACILITIES >> 7200B. FINRA/NYSE TRADE REPORTING FACILITY
  • 7230A. Trade Report Input ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7200. TRADE REPORTING FACILITIES
  • 6282. Transactions Reported by Members to the ADF ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6200. ALTERNATIVE DISPLAY FACILITY >> 6280. Transaction Reporting
  • 6380A. Transaction Reporting ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES
  • IM-1011-3. Business Expansions and Persons with Specified Risk Events ( )
    FINRA Rules >> 1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION >> 1011. Definitions
  • 111. Membership Proceedings ( )
    Capital Acquisition Broker Rules >> 100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
  • 1011. Definitions ( )
    FINRA Rules >> 1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
  • 900. Code of Procedure ( )
    Funding Portal Rules
  • 7620A. FINRA/Nasdaq Trade Reporting Facility Reporting Fees ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES