Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Manual

The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:

Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry. 

Our Corporate Organization
Over time, FINRA has undergone organizational transformations that have required formal administrative updates, including by-laws, Trade Reporting Facility (TRF) agreements and more. 

Explore the full FINRA Manual below. 


Rules

 

Corporate Organization