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Explore the full FINRA Manual below. 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.
Available only for 40 FINRA Rules Disclaimer: The FINRA Rulebook Search Tool™ (FIRST™) is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations.
A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.
The singlemost reliable, current source for FINRA rules, Notices to Members, Interpretations, etc. Available online, in loose-leaf with monthly updates, and as an annual paperback edition.
FINRA Rule 2114, which is based on NASD Rule 2315, addresses potential fraud and abuse in transactions that involve securities that are not listed on an exchange and other higher risk securities. In adapting the NASD rule for the Consolidated FINRA Rulebook, FINRA made four important substantive changes that:
16 lut 2024 · Gain clarity and confidence in navigating the regulatory landscape with Global Relay's comprehensive guide to FINRA Rule 2010. Unravel the intricacies of this foundational rule, understanding its implications for ethical conduct within the financial industry.
Sections 242.300 through 242.303 appear at 63 FR 70921, Dec. 22, 1998, unless otherwise noted. 1. An alternative trading system is required to comply with the requirements in this Regulation ATS, unless such alternative trading system: (a) Is registered as a national securities exchange;
