Expand All | Collapse All ; 0100. General Standards · 1000. Member Application and Associated Person Registration · 2000. Duties and Conflicts · 3000. Supervision and Responsibilities Relating to Associated Persons · 4000. Financial and Operational Rules · 5000. Securities Offering and Trading Standards and Practices · 6000. Quotation, Order, and Transaction Reporting Facilities · 7000. Clearing, Transaction and Order Data Requirements, and Facility Charges · 8000. Investigations...
The Rulemaking Process ; Rule Filings · Rule Filing Status Report · Requests for Comments · Rulebook Consolidation · Retrospective Rule Review
Parties must arbitrate a dispute under the Code if: The dispute is between a customer and a member or associated person of a member; and · The dispute arises in connection with the business activities of the member or the associated person, except disputes involving the insurance business activities of a member that is also an insurance company.
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 consis...
To assist firms in complying with SEC Rules regarding financial and operational matters, FINRA has published and will periodically update certain interpretations provided by the staff of the SEC's...
FINRA's Proposal to Amend its Arbitration Rules
FINRA's Arbitration Awards Online database (“AAO”) demonstrates our commitment to transparency by enabling users to perform web-based searches for FINRA arbitration awards free of charge, seven day...
FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers. We involve a number of interested p...
Summary FINRA reminds member firms about requirements when using predispute arbitration agreements for customer accounts. Where member firms use mandatory arbitration clauses in their customer agre...
Filing Fee: FINRA also requires that the claimant submit the appropriate filing fee at the time of filing of the arbitration claim. FINRA has a fee calculator to help estimate the initial...