FINRA Manual Updates

Recently updated entries of the FINRA Manual

6540. Dissemination of Loan Information (Apr 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
7720. Securities Lending and Transparency Engine (SLATE) (Apr 02, 2026 )
FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7700. CHARGES FOR OTC REPORTING FACILITY AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES
6550. Emergency Authority (Jan 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6530. Reporting Securities Loan Information (Jan 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6520. Participation in SLATE (Jan 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
6510. Definitions (Jan 02, 2026 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
9559. Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
6490. Processing of Company-Related Actions (Oct 07, 2025 )
FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES
900. Code of Procedure (Oct 07, 2025 )
Funding Portal Rules
9146. Motions (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE >> 9140. Proceedings
9760. Call for Review by the National Adjudicatory Council (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS
9526. Expedited Review (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9520. Eligibility Proceedings
9750. Decision (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS
9215. Answer to Complaint (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9200. DISCIPLINARY PROCEEDINGS >> 9210. Complaint and Answer
9525. Discretionary Review by the FINRA Board (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9520. Eligibility Proceedings
9555. Failure to Meet the Eligibility or Qualification Standards or Prerequisites for Access to Services (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
9850. Review by Hearing Panel (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS
9135. Filing of Papers with Adjudicator: Procedure (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE >> 9130. Service; Filing of Papers
9524. National Adjudicatory Council Consideration (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9520. Eligibility Proceedings
9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
9840. Issuance of Order by Hearing Panel (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS
9134. Methods of, Procedures for Service (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE >> 9130. Service; Filing of Papers
9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE >> 9130. Service; Filing of Papers
9630. Appeal (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9600. PROCEDURES FOR EXEMPTIONS
9553. Failure to Pay FINRA Dues, Fees and Other Charges (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings