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FINRA Manual Updates
Recently updated entries of the FINRA Manual
- Section 4 — Fees ( )Corporate Organization >> By-Laws of the Corporation >> Schedule A to the By-Laws of the Corporation
- Corporate Organization >> By-Laws of the Corporation >> Schedule A to the By-Laws of the Corporation
- 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 >> 3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS >> 3100. SUPERVISORY RESPONSIBILITIES
- FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES >> 6430. OTC Equity Quotation Requirements
- FINRA Rules >> 9000. CODE OF PROCEDURE >> 9200. DISCIPLINARY PROCEEDINGS >> 9210. Complaint and Answer
- FINRA Rules >> 5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES >> 5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION >> 5120. Offerings of Members’ Securities
- FINRA Rules >> 5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES >> 5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION >> 5120. Offerings of Members’ Securities
- FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES >> 6430. OTC Equity Quotation Requirements
- FINRA Rules >> 0100. GENERAL STANDARDS
- FINRA Rules >> 1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
- FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES >> 6300B. FINRA/NYSE TRADE REPORTING FACILITY
- FINRA Rules >> 4000. FINANCIAL AND OPERATIONAL RULES >> 4200. MARGIN
- Capital Acquisition Broker Rules >> 100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
- FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7200. TRADE REPORTING FACILITIES >> 7200B. FINRA/NYSE TRADE REPORTING FACILITY
- FINRA Rules >> 1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION >> 1011. Definitions
- FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7100. ALTERNATIVE DISPLAY FACILITY
- FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7300. OTC REPORTING FACILITY
- FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7200. TRADE REPORTING FACILITIES
- FINRA Rules >> 1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
- FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES
- FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE
- FINRA Rules >> 5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES >> 5300. HANDLING OF CUSTOMER ORDERS
- FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6200. ALTERNATIVE DISPLAY FACILITY >> 6280. Transaction Reporting
- FINRA Rules >> 9000. CODE OF PROCEDURE >> 9600. PROCEDURES FOR EXEMPTIONS