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
  • 6380B. Transaction Reporting ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES >> 6300B. FINRA/NYSE TRADE REPORTING FACILITY
  • 12808. Accelerated Processing ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART VIII SIMPLIFIED ARBITRATION, ACCELERATED PROCESSING, DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS
  • 6380A. Transaction Reporting ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES
  • 3220. Influencing or Rewarding Employees of Others ( )
    FINRA Rules >> 3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS >> 3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
  • 2320. Variable Contracts of an Insurance Company ( )
    FINRA Rules >> 2000. DUTIES AND CONFLICTS >> 2300. SPECIAL PRODUCTS
  • 2341. Investment Company Securities ( )
    FINRA Rules >> 2000. DUTIES AND CONFLICTS >> 2300. SPECIAL PRODUCTS >> 2340. Investment Companies
  • 9610. Application ( )
    FINRA Rules >> 9000. CODE OF PROCEDURE >> 9600. PROCEDURES FOR EXEMPTIONS
  • 2310. Direct Participation Programs ( )
    FINRA Rules >> 2000. DUTIES AND CONFLICTS >> 2300. SPECIAL PRODUCTS
  • 5110. Corporate Financing Rule — Underwriting Terms and Arrangements ( )
    FINRA Rules >> 5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES >> 5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION
  • 511. Securities as Compensation ( )
    Capital Acquisition Broker Rules >> 500. SECURITIES OFFERINGS