FINRA Manual Updates

Recently updated entries of the FINRA Manual

9830. Hearing (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS
9620. Decision (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9600. PROCEDURES FOR EXEMPTIONS
9552. Failure to Provide Information or Keep Information Current (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
9132. Service of Orders, Notices, and Decisions by Adjudicator (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE >> 9130. Service; Filing of Papers
9522. Initiation of Eligibility Proceeding; Member Regulation Consideration; and Requirements for an Interim Plan of Heightened Supervision (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9520. Eligibility Proceedings
9120. Definitions (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE
9212. Complaint Issuance — Requirements, Service, Amendment, Withdrawal, and Docketing (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9200. DISCIPLINARY PROCEEDINGS >> 9210. Complaint and Answer
9141. Appearance and Practice; Notice of Appearance (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE >> 9140. Proceedings
9551. Failure to Comply with Public Communication Standards (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9500. OTHER PROCEEDINGS >> 9550. Expedited Proceedings
9131. Service of Complaint (Oct 07, 2025 )
FINRA Rules >> 9000. CODE OF PROCEDURE >> 9100. APPLICATION AND PURPOSE >> 9130. Service; Filing of Papers