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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
  • 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
  • 7130. Trade Report Input ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7100. ALTERNATIVE DISPLAY FACILITY
  • 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
  • 7230A. Trade Report Input ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7200. TRADE REPORTING FACILITIES
  • 4210. Margin Requirements ( )
    FINRA Rules >> 4000. FINANCIAL AND OPERATIONAL RULES >> 4200. MARGIN
  • 12214. Payment of Arbitrators ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART II GENERAL ARBITRATION RULES
  • 13214. Payment of Arbitrators ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART II GENERAL ARBITRATION RULES
  • 13903. Process Fees Paid by Members ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IX FEES AND AWARDS
  • 12903. Process Fees Paid by Members ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IX FEES AND AWARDS
  • 13902. Hearing Session Fees, and Other Costs and Expenses ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IX FEES AND AWARDS
  • 12902. Hearing Session Fees, and Other Costs and Expenses ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IX FEES AND AWARDS
  • 13901. Member Surcharge ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IX FEES AND AWARDS
  • 12901. Member Surcharge ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IX FEES AND AWARDS
  • 13900. Fees Due When a Claim Is Filed ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IX FEES AND AWARDS
  • 12900. Fees Due When a Claim Is Filed ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IX FEES AND AWARDS
  • 3241. Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer ( )
    FINRA Rules >> 3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS >> 3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
  • Removal ( )
    Corporate Organization >> By-Laws of FINRA Regulation, Inc. >> ARTICLE V NATIONAL ADJUDICATORY COUNCIL
  • 6830. Industry Member Data Reporting ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE
  • 6810. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE