FINRA Manual Updates

Recently updated entries of the FINRA Manual

  • 6730. Transaction Reporting ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
  • 12805. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART VIII SIMPLIFIED ARBITRATION DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS
  • 12100. Definitions ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
  • 12800. Simplified Arbitration ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART VIII SIMPLIFIED ARBITRATION DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS
  • 13600. Required Hearings ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
  • 13100. Definitions ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY