FINRA Manual Updates

Recently updated entries of the FINRA Manual

6540. Dissemination of Loan Information (Mar 29, 2029 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6550. Emergency Authority (Sep 28, 2028 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6530. Reporting Securities Loan Information (Sep 28, 2028 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6520. Participation in SLATE (Sep 28, 2028 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6510. Definitions (Sep 28, 2028 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
3290. Outside Activities Requirements (Oct 25, 2027 )
FINRA Rules >> 3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS >> 3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
9610. Application (Oct 25, 2027 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9600. PROCEDURES FOR EXEMPTIONS
6750. Dissemination of Transaction Information (Aug 02, 2027 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
6730. Transaction Reporting (Aug 02, 2027 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
6710. Definitions (Aug 02, 2027 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
Section 7 — Fees for Filing Documents Pursuant to the Corporate Financing Rule (Jan 01, 2027 )
Corporate Organization >> By-Laws of the Corporation >> Schedule A to the By-Laws of the Corporation
6121. Trading Halts Due to Extraordinary Market Volatility (Dec 06, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6100. QUOTING AND TRADING IN NMS STOCKS
1240. Continuing Education (Oct 29, 2026 )
FINRA Rules >> 1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION >> 1200. REGISTRATION AND QUALIFICATION
2220. Options Communications (Oct 22, 2026 )
FINRA Rules >> 2000. DUTIES AND CONFLICTS >> 2200. COMMUNICATIONS AND DISCLOSURES
2357. Communications with the Public and Customers Concerning Index Warrants, Currency Index Warrants and Currency Warrants (Oct 22, 2026 )
FINRA Rules >> 2000. DUTIES AND CONFLICTS >> 2300. SPECIAL PRODUCTS >> 2350. Trading in Index Warrants, Currency Index Warrants and Currency Warrants
2360. Options (Oct 22, 2026 )
FINRA Rules >> 2000. DUTIES AND CONFLICTS >> 2300. SPECIAL PRODUCTS
4210. Margin Requirements (Oct 22, 2026 )
FINRA Rules >> 4000. FINANCIAL AND OPERATIONAL RULES >> 4200. MARGIN
2351. General Provisions Applicable to Trading in Index Warrants, Currency Index Warrants and Currency Warrants (Oct 22, 2026 )
FINRA Rules >> 2000. DUTIES AND CONFLICTS >> 2300. SPECIAL PRODUCTS >> 2350. Trading in Index Warrants, Currency Index Warrants and Currency Warrants

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FINRA Manual Updates