FINRA Manual Updates

Recently updated entries of the FINRA Manual

  • 6540. Dissemination of Loan Information ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 6550. Emergency Authority ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 6530. Reporting Securities Loan Information ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 6520. Participation in SLATE ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 6510. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 7720. Securities Lending and Transparency Engine (SLATE) ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7700. CHARGES FOR OTC REPORTING FACILITY, SECURITIES LENDING AND TRANSPARENCY ENGINE, AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES
  • 13808. Accelerated Processing ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; INJUNCTIVE RELIEF; EXPUNGEMENT PROCEEDINGS; PROMISSORY NOTE PROCEEDINGS; AND ACCELERATED PROCESSING
  • 12808. Accelerated Processing ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART VIII SIMPLIFIED ARBITRATION, ACCELERATED PROCESSING, DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS
  • 12407. Removal of Arbitrator by Director ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
  • 13410. Removal of Arbitrator by Director ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
  • 12403. Cases with Three Arbitrators ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
  • 12402. Cases with One Arbitrator ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS