FINRA: Rule by Rule

Overview

This page provides links to the identified FINRA Rules and links to the Focus Pages associated with each of those Rules. See also the FINRA Rule Book and the FINRA Materials page.

Steven Lofchie

Contributor Organization

Fried, Frank, Harris, Shriver & Jacobson LLP

Contributor Title

Partner

Mark Highman

Contributor Organization

Fried, Frank, Harris, Shriver & Jacobson LLP

Contributor Title

Counsel

Find

Find:

FINRA Rules 1000 through 2370

FINRA Rule 1000 (Member Application and Associated Person Registration)
FINRA Rule 1010 (FKA NASD 1140) (Electronic Filing Requirements for Uniform Forms) | Focus Page
FINRA Rule 1011 (Definitions) | Focus Page
FINRA Rule IM-1011-1 (Safe Harbor for Business Expansions) | Focus Page
FINRA Rule 1012 (General Provisions) | Focus Page
FINRA Rule 1013 (New Member Application and Interview) | Focus Page
FINRA Rule IM-1013-1 and IM-1013-2 (Membership Waive-In Process for NYSE and Amex Firms ) | Focus Page
FINRA Rule 1014 (Department Decision) | Focus Page
FINRA Rule 1015 (Review by National Adjudicatory Council) | Focus Page
FINRA Rule 1016 (Discretionary Review by FINRA Board) | Focus Page
FINRA Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) | Focus Page
FINRA Rule 1019 (Application to the SEC for Review) | See also FINRA Rule 9370 and SEA Section 19(d)(2) | Focus Page
FINRA Rule 1020 (Approval of Change in Exempt Status Under SEA Rule 15c3-3) | Focus Page
FINRA Rule 1021 (Foreign Members) | Search
FINRA Rule 1113 (Restriction Pertaining to New Member Applications (Proposed)
FINRA Rule 1122 (FKA NASD IM-1000-1) (Filing of Misleading Information as to Membership or Registration) | Focus Page
FINRA Rule 1210 (FKA NASD IM-1000-2) (Registration Requirements)
FINRA Rule 1220 (FKA NASD 1022) (Registration Categories)
FINRA Rule 1230 (FKA NASD 1060(a)) (Associated Persons Exempt from Registration)
FINRA Rule 1240 (FKA NASD 1120) (Continuing Education Requirements) | Focus Page
FINRA Rule 2000 (Duties and Conflicts)
FINRA Rule 2010 (FKA NASD 2110) (Standards of Commercial Honor and Principles of Trade) | Focus Page
FINRA Rule 2020 (FKA NASD 2120) (Use of Manipulative, Deceptive or Other Fraudulent Devices) |
FINRA Rule 2030 (Engaging in Distribution and Solicitation Activities with Government Entities) | Focus Page
FINRA Rule 2040 (FKA NASD 1060(b)) (Payments to Unregistered Persons) | Focus Page
FINRA Rule 2060 (FKA NASD 3120) (Use of Information Obtained in Fiduciary Capacity)
FINRA Rule 2070 (FKA NASD 3090) (Transactions Involving FINRA Employees) | Focus Page
FINRA Rule 2080 (FKA NASD 2130) (Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) | Focus Page
FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute) | Focus Page
FINRA Rule 2090 (FKA NYSE 405(1)) (Know Your Customer) | Focus Page
FINRA Rule 2110 (Recommendations)
- FINRA Rule 2111 (FKA NASD 2310) (Suitability) | Focus Page
- FINRA Rule 2114 (FKA NASD 2315) (Recommendations to Customers in OTC Equity Securities) | Focus Page
FINRA Rule 2120 (Commissions, Mark Ups and Charges)
- FINRA Rule 2121 (FKA NASD 2440) (Fair Prices and Commissions) | Focus Page
- FINRA Rule 2122 (FKA NASD 2430) (Charges for Services Performed) | Focus Page
- FINRA Rule 2124 (FKA NASD 2441) (Net Transactions with Customers) | Search
FINRA Rule 2130 (FKA NASD 2360) (Approval Procedures for Day-Trading Accounts) | Focus Page
FINRA Rule 2140 (FKA NASD IM-2110-7) (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) | Focus Page
FINRA Rule 2150 (FKA NASD 2330(a), (e), (f)) (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) | Focus Page
FINRA Rule 2165 (Financial Exploitation of Specified Adults) | Focus Page
FINRA Rule 2210 (FKA NASD 2210) (Communications with the Public) | Focus Page
FINRA Rule 2211 (FKA NASD IM-2210-2) (Communications with the Public About Variable Life Insurance and Variable Annuities) | Focus Page
FINRA Rule 2212 (FKA NASD IM-2210-3) (Use of Investment Companies Rankings in Retail Communications) | Focus Page
FINRA Rule 2213 (FKA NASD IM-2210-5) (Requirements for the Use of Bond Mutual Fund Volatility Ratings) | Focus Page
FINRA Rule 2214 (FKA NASD IM-2210-6) (Requirements for the Use of Investment Analysis Tools) | Focus Page
FINRA Rule 2215 (FKA NASD IM-2210-7) (Communications with the Public Regarding Security Futures) | Focus Page
FINRA Rule 2216 (FKA NASD IM-2210-8) (Communications with the Public About Collateralized Mortgage Obligations (CMOs) | Focus Page
FINRA Rule 2220 (FKA NASD 2220) (Options Communications) | Focus Page
FINRA Rule 2230 (Customer Account Statements and Confirmations)
- FINRA Rule 2231 (Customer Account Statements) | Focus Page
- FINRA Rule 2232 (FKA NASD IM-2110-6) (Customer Confirmations) | Focus Page
FINRA Rule 2240 (Conflicts of Interest)
- FINRA Rule 2241 (FKA NASD 2711) (Research Analysts and Research Reports) | Focus Page
- FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) | Focus Page
FINRA Rule 2251 (FKA NASD 2260) (Processing and Forwarding of Proxy and Other Issuer-Related Materials) | Focus Page
FINRA Rule 2260-73 (Disclosures)
- FINRA Rule 2261 (FKA NASD 2270) (Disclosure of Financial Condition) | Focus Page
- FINRA Rule 2262 (FKA NASD 2240) (Disclosure of Control Relationship with Issuer) | Focus Page
- FINRA Rule 2263 (FKA NASD 3080) (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U-4) | Focus Page
- FINRA Rule 2264 (FKA NASD 2341) (Margin Disclosure Statement) | Focus Page
- FINRA Rule 2265 (Extended Hours Trading Risk Disclosure) | Focus Page
- FINRA Rule 2266 (FKA NASD 2342) (SIPC Information) | Focus Page
- FINRA Rule 2267 (FKA NASD 2280) (Investor Education and Protection) | Focus Page
- FINRA Rule 2268 (FKA NASD 3110(f)) (Requirements When Using Predispute Arbitration Agreements for Customer Accounts) | Focus Page
- FINRA Rule 2269 (FKA NASD 2250) (Disclosure of Participation or Interest in Primary or Secondary Distribution) | Focus Page
- FINRA Rule 2270 (FKA NASD 2361) (Day-Trading Risk Disclosure Statement) | Focus Page
- FINRA Rule 2272 (Sales and Offers of Sales of Securities on Military Installations) | Focus Page
- FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) | Focus Page
FINRA Rule 2310 (FKA NASD 2810) (Direct Participation Programs) | Focus Page
FINRA Rule 2320 (FKA NASD 2820) (Variable Contracts of an Insurance Company) | Focus Page
FINRA Rule 2330 (FKA NASD 2821) (Members' Responsibilities Regarding Deferred Variable Annuities) | Focus Page
FINRA Rule 2340 (Investment Companies)
- FINRA Rule 2341 (FKA NASD 2830) (Investment Company Securities) | Focus Page on Shelf Space Arrangements
- FINRA Rule 2342 (FKA NASD IM-2830-1) ("Breakpoint" Sales) | Focus Page
FINRA Rule 2350 through FINRA Rule 2359 (Trading in Index Warrants, Currency Index Warrants and Currency Warrants) | Focus Page
FINRA Rule 2360 (FKA NASD 2860) (Options) | Focus Page | Focus Page on LOPR
FINRA Rule 2370 (FKA NASD 2865) (Security Futures) | Focus Page

FINRA Rules 3000 through 6800

FINRA Rule 3000 (Supervision and Responsibilities Relating to Associated Persons)
FINRA Rule 3110 (FKA NASD IM-1000-4) (Supervision) | Focus Page
FINRA Rule 3120 (FKA NASD 3012) (Supervisory Control System) | Focus Page
FINRA Rule 3130 (FKA NASD 3013) (Annual Certification of Compliance and Supervisory Processes) | Focus Page
FINRA Rule 3150 (FKA NASD 3110(i)) (Holding of Customer Mail) | Focus Page
FINRA Rule 3160 (FKA NASD 2350) (Networking Arrangements Between Members and Financial Institutions) | Focus Page
FINRA Rule 3170 (FKA NASD 3010(b)(2)) (Tape Recording of Registered Persons by Certain Firms) | Focus Page
FINRA Rule 3210 (FKA NASD 3050) (Accounts At Other Broker-Dealers and Financial Institutions) | Focus Page
FINRA Rule 3220 (FKA NASD 3060) (Influencing or Rewarding Employees of Others) | Focus Page
FINRA Rule 3221 (Restrictions on Non-Cash Compensation (PROPOSED) | Focus Page on Sales Contests and Non-Cash Compensation
FINRA Rule 3222 (Business Entertainment (PROPOSED) | Focus Page
FINRA Rule 3223 (Exemptions (PROPOSED) | Focus Page
FINRA Rule 3230 (FKA NASD 2212) (Telemarketing) | Focus Page
FINRA Rule 3240 (FKA NASD 2370) (Borrowing From or Lending to Customers) | Focus Page
FINRA Rule 3250 (FKA NYSE 406) (Designation of Accounts) | Focus Page
FINRA Rule 3260 (Discretionary Accounts) | Focus Page
FINRA Rule 3270 (FKA NASD 3030) (Outside Business Activities of Registered Persons) | Focus Page
FINRA Rule 3280 (FKA NASD 3040) (Private Securities Transactions of an Associated Person) | Focus Page
FINRA Rule 3290 (Outside Business Activities (PROPOSED) | Focus Page
FINRA Rule 3310 (Anti-Money Laundering Compliance Program) | Focus Page
FINRA Rule 4100 (Financial Condition)
FINRA Rule 4110 (Capital Compliance) | Focus Page | Focus Page on Subordination Agreements
FINRA Rule 4120 (FKA NASD 3130)(Regulatory Notification and Business Curtailment) | Focus Page
FINRA Rule 4130 (FKA NASD 3131) (Regulation of Activities of Section 15C Members Experiencing Financial and/or Operational Difficulties) | Focus Page
FINRA Rule 4140 (Audit) | Focus Page
FINRA Rule 4150 (FKA NYSE 322) (Guarantees by, or Flow Through Benefits for, Members) | Focus Page
FINRA Rule 4160 (Verification of Assets) | Focus Page
FINRA Rule 4210 (FKA NASD 2520) (Margin Requirements) | Focus Page on Repurchase Agreements | on TBAs | on Margin Positions
FINRA Rule 4220 (FKA NYSE 432(a)) (Daily Record of Required Margin) | Focus Page
FINRA Rule 4230 (FKA NASD 3160) (Required Submissions for Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3) | Focus Page
FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) | Focus Page
FINRA Rule 4310 (Member Agreements and Contracts)
- FINRA Rule 4311 (FKA NASD 3230) (Carrying Agreements) | Focus Page
- FINRA Rule 4314 (FKA NYSE 296) (Securities Loans and Borrowings) | Focus Page
FINRA Rule 4320 (FKA NASD 3210) (Short Sale Delivery Requirements) | Focus Page
FINRA Rule 4330 (FKA NYSE 402) (Customer Protection - Permissible Use of Customers' Securities) | Focus Page on Securities Lending
FINRA Rule 4340 (FKA NYSE 402.30) (Callable Securities) | Focus Page
FINRA Rule 4360 (FKA NASD 3020) (Fidelity Bonds) | Focus Page
FINRA Rule 4370 (FKA NASD 3520) (Business Continuity Plans and Emergency Contact Information) | Focus Page
FINRA Rule 4380 (Mandatory Participation in FINRA BC/DR Testing Under Regulation SCI) | Search
FINRA Rule 4510 (Books and Records Requirements)
- FINRA Rule 4511 (FKA NASD 3110(a)) (General Requirements) | Focus Page
- FINRA Rule 4512 (FKA NASD 3110(c)) (Customer Account Information) | Focus Page
- FINRA Rule 4513 (FKA NASD 3110(d)-(e)) (Records of Written Customer Complaints) | Focus Page
- FINRA Rule 4514 (FKA NASD 3110(g)) (Authorization Records for Negotiable Instruments Drawn From a Customer's Account) | Search
- FINRA Rule 4515 (FKA NASD 3110(j)) (Approval and Documentation of Changes in Account Name or Designation) | Focus Page
- FINRA Rule 4517 (FKA NASD 1150) (Member Filing and Contact Information Requirements) | Focus Page
- FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act) | Search
FINRA Rule 4520 (Financial Records and Reporting Requirements)
- FINRA Rule 4521 (Notifications, Questionnaires and Reports) | Focus Page
- FINRA Rule 4522 (FKA NYSE 440.10) (Periodic Security Counts, Verifications and Comparisons) | Focus Page
- FINRA Rule 4523 (FKA NYSE 440.20) (Assignment of Responsibility for General Ledger Accounts and Identification of Suspense Accounts) | Focus Page
- FINRA Rule 4524 (Supplemental FOCUS Information) | Focus Page
FINRA Rule 4530 (FKA NASD 3070) (Reporting Requirements) | Focus Page
FINRA Rule 4540 (Reporting Requirements for Clearing Firms) | Search
FINRA Rule 4550 (Alternative Trading System Reporting)
- FINRA Rule 4551 (FKA NASD 3115) Execution Information for Security Futures) | FINRA Rule 4553 (Fees for ATS Data)|FINRA Rule 4554 (Order and Execution Information for NMS Stocks)
FINRA Rule 4560 (FKA NASD 3360) (Short-Interest Reporting) | Focus Page
FINRA Rule 4570 (FKA NASD 3121) (Custodian of Books and Records) | Focus Page
FINRA Rule 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities) | Focus Page
FINRA Rule 4590 (Synchronization of Member Business Clocks) | Focus Page
FINRA Rule 5110 (FKA NASD 2710(a)) (Corporate Financing Rule - Underwriting Terms and Arrangements) | Focus Page
FINRA Rule 5120 (Offerings of Members’ Securities)
- FINRA Rule 5121 (FKA NASD 2720) (Public Offerings of Securities With Conflicts of Interest) | Focus Page
- FINRA Rule 5122 (Private Placements of Securities Issued by Members) | Focus Page
- FINRA Rule 5123 (Private Placements of Securities) | Focus Page
FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) | Focus Page
FINRA Rule 5131 (New Issue Allocations and Distributions) | Focus Page
FINRA Rule 5141 (FKA NASD 0120(h)) (Sale of Securities in a Fixed Price Offering) | Focus Page
FINRA Rule 5150 (FKA NASD 2290) (Fairness Opinions) |Search
FINRA Rule 5160 (FKA NASD 2770) (Disclosure of Price and Concessions in Selling Agreements) | Focus Page
FINRA Rule 5190 (FKA NASD 2710(b)(10-11)) (Notification Requirements for Offering Participants) | Focus Page
FINRA Rule 5210 (FKA NASD 3310) (Publication of Transactions and Quotations) | Focus Page
FINRA Rule 5220 (FKA NASD 3320) (Offers at Stated Prices) | Focus Page
FINRA Rule 5230 (FKA NASD 3330) (Payments Involving Publications that Influence the Market Price of a Security) | Search
FINRA Rule 5240 (FKA NASD IM-2110-5) (Anti-Intimidation/Coordination) | Focus Page
FINRA Rule 5250 (FKA NASD 2460) (Payments for Market Making) | Focus Page
FINRA Rule 5260 (FKA NASD 3340) (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) | Focus Page
FINRA Rule 5270 (FKA NASD IM-2110-3) (Front Running of Block Transactions) | Focus Page
FINRA Rule 5280 (FKA NASD IM-2110-4) (Trading Ahead of Research Reports) | Focus Page
FINRA Rule 5290 (FKA NASD 3380) (Order Entry and Execution Practices) | Search
FINRA Rule 5310 (FKA NASD 2320) (Best Execution and Interpositioning) | Focus Page
FINRA Rule 5320 (FKA NASD IM-2110-2) (Prohibition Against Trading Ahead of Customer Orders) | Focus Page
FINRA Rule 5330 (FKA NASD 3220) (Adjustment of Orders) | Focus Page
FINRA Rule 6120 (FKA NASD 4633, 4120A, 4633C, 4633E) (Trading Halts) | Focus Page
FINRA Rule 6121 (Trading Halts due to Extraordinary Market Volatility) | Focus Page
FINRA Rule 6190 (Compliance with NMS Plan to address Extraordinary Market Volatility) | Focus Page
FINRA Rule 6200 Series (Alternative Display Facility and related Rules); see also FINRA Rule 6270 (Quote and trading); FINRA Rule 6280 (Transaction reporting) | Focus Page
FINRA Rule 6400 Series (Quoting and Trading OTC Equities) | Focus Page
FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) | Focus Page
FINRA Rule 6500 Series (OTC Bulletin Board Service ("OTCBB") and related Rules) | Focus Page
FINRA Rule 6700 Series (Trade Reporting and Compliance Engine ("TRACE") and related Rules) | Focus Page
FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule ("CAT")) | Focus Page

Overview

Find

FINRA Rules 1000 through 2370

FINRA Rules 3000 through 6800

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