FINRA Manual Updates

Recently updated entries of the FINRA Manual

  • 9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2) ( )
    FINRA Rules >> 9000. CODE OF PROCEDURE >> 9200. DISCIPLINARY PROCEEDINGS >> 9210. Complaint and Answer
  • 6140. Other Trading Practices ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6100. QUOTING AND TRADING IN NMS STOCKS
  • 6183. Exemption from Trade Reporting Obligation for Certain Alternative Trading Systems ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6100. QUOTING AND TRADING IN NMS STOCKS >> 6180. Transaction Reporting
  • Executive Representative ( )
    Corporate Organization >> By-Laws of the Corporation >> ARTICLE IV MEMBERSHIP
  • 6310A. General ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES
  • 7230A. Trade Report Input ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7200. TRADE REPORTING FACILITIES
  • 6120. Trading Halts ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6100. QUOTING AND TRADING IN NMS STOCKS
  • 6320B. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES >> 6300B. FINRA/NYSE TRADE REPORTING FACILITY
  • 6182. Trade Reporting of Short Sales ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6100. QUOTING AND TRADING IN NMS STOCKS >> 6180. Transaction Reporting
  • 5320. Prohibition Against Trading Ahead of Customer Orders ( )
    FINRA Rules >> 5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES >> 5300. HANDLING OF CUSTOMER ORDERS
  • 6320A. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES
  • 6121. Trading Halts Due to Extraordinary Market Volatility ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6100. QUOTING AND TRADING IN NMS STOCKS
  • 6420. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES
  • 6810. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE
  • 7110. Definitions ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7100. ALTERNATIVE DISPLAY FACILITY
  • 6110. Trading Otherwise than on an Exchange ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6100. QUOTING AND TRADING IN NMS STOCKS
  • 6310B. General ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES >> 6300B. FINRA/NYSE TRADE REPORTING FACILITY
  • 6730. Transaction Reporting ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)