FINRA Manual Updates
Recently updated entries of the FINRA Manual
- FINRA Rules >> 0100. GENERAL STANDARDS
- Capital Acquisition Broker Rules >> 010. GENERAL STANDARDS
- FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6600. OTC REPORTING FACILITY >> 6620. Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
- FINRA Rules >> 9000. CODE OF PROCEDURE >> 9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW >> 9340. Proceedings
- FINRA Rules >> 11000. UNIFORM PRACTICE CODE >> 11800. CLOSE-OUT PROCEDURES >> 11890. Clearly Erroneous Transactions
- FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- 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; AND INJUNCTIVE RELIEF
- FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- 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; AND INJUNCTIVE RELIEF
- FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS
- FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- 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; AND INJUNCTIVE RELIEF
- FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS