FINRA Manual Updates

Recently updated entries of the FINRA Manual

6540. Dissemination of Loan Information (Apr 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
7720. Securities Lending and Transparency Engine (SLATE) (Apr 02, 2026 )
FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7700. CHARGES FOR OTC REPORTING FACILITY AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES
6550. Emergency Authority (Jan 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6530. Reporting Securities Loan Information (Jan 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6520. Participation in SLATE (Jan 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6510. Definitions (Jan 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
9561. Procedures for Regulating Activities Under Rule 4111 (Jul 04, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
9285. Interim Orders and Mandatory Heightened Supervision While on Appeal or on Discretionary Review (Jul 04, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9200. DISCIPLINARY PROCEEDINGS
9269. Default Decisions (Jul 04, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9200. DISCIPLINARY PROCEEDINGS >> 9260. Hearing and Decision
9558. Summary Proceedings for Actions Authorized by Section 15A(h)(3) of the Exchange Act (Jul 04, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
9557. Procedures for Regulating Activities Under Rules 4110, 4120 and 4130 Regarding a Member Experiencing Financial or Operational Difficulties (Jul 04, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
9870. Application to SEC for Review (Jul 04, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS
9850. Review by Hearing Panel (Jul 04, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS
9840. Issuance of Order by Hearing Panel (Jul 04, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS
4111. Restricted Firm Obligations (Jul 04, 2025 )
FINRA Rules >> 4000. FINANCIAL AND OPERATIONAL RULES >> 4100. FINANCIAL CONDITION
Section 7 — Fees for Filing Documents Pursuant to the Securities Offerings Rules (Jun 05, 2025 )
Corporate Organization >> By-Laws of the Corporation >> Schedule A to the By-Laws of the Corporation
9559. Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series (Jun 02, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
9370. Application to SEC for Review (Jun 02, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW
9527. Application to SEC for Review (Jun 02, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9520. Eligibility Proceedings
9360. Effectiveness of Sanctions (Jun 02, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW
900. Code of Procedure (Jun 02, 2025 )
Funding Portal Rules
9525. Discretionary Review by the FINRA Board (Jun 02, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9520. Eligibility Proceedings
9524. National Adjudicatory Council Consideration (Jun 02, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9520. Eligibility Proceedings
8320. Payment of Fines, Other Monetary Sanctions, or Costs; Summary Action for Failure to Pay (Jun 02, 2025 )
FINRA Rules >> 8000. INVESTIGATIONS AND SANCTIONS >> 8300. SANCTIONS