Overview
This page provides links to the identified FINRA Rules and links to the Topic Pages associated with each of those Rules. See also the FINRA Rule Book and the FINRA Materials page.
Contributor Organization
Contributor Title
Senior Attorney
Contributor Organization
Contributor Title
Senior Counsel
Find:
FINRA Rules 1000 through 2370
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FINRA Rule 1000 (Member Application and Associated Person Registration)
- FINRA Rule 1010 (FKA NASD 1140) (Electronic Filing Requirements for Uniform Forms) | Topic Page
- FINRA Rule 1011 (Definitions) | Topic Page
- FINRA Rule IM-1011-1 (Safe Harbor for Business Expansions) | Topic Page
- FINRA Rule 1012 (General Provisions) | Topic Page
- FINRA Rule 1013 (New Member Application and Interview) | Topic Page
- FINRA Rule IM-1013-1 and IM-1013-2 (Membership Waive-In Process for NYSE and Amex Firms ) | Topic Page
- FINRA Rule 1014 (Department Decision) | Topic Page
- FINRA Rule 1015 (Review by National Adjudicatory Council) | Topic Page
- FINRA Rule 1016 (Discretionary Review by FINRA Board) | Topic Page
- FINRA Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) | Topic Page
- FINRA Rule 1019 (Application to the SEC for Review) | See also FINRA Rule 9370 and SEA Section 19(d)(2) | Topic Page
- FINRA Rule 1020 (Approval of Change in Exempt Status Under SEA Rule 15c3-3) | Topic 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) | Topic 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) | Topic Page
- FINRA Rule 2000 (Duties and Conflicts)
- FINRA Rule 2010 (FKA NASD 2110) (Standards of Commercial Honor and Principles of Trade) | Topic 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) | Topic Page
- FINRA Rule 2040 (FKA NASD 1060(b)) (Payments to Unregistered Persons) | Topic Page
- FINRA Rule 2060 (FKA NASD 3120) (Use of Information Obtained in Fiduciary Capacity)
- FINRA Rule 2070 (FKA NASD 3090) (Transactions Involving FINRA Employees) | Topic Page
- FINRA Rule 2080 (FKA NASD 2130) (Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) | Topic Page
- FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute) | Topic Page
- FINRA Rule 2090 (FKA NYSE 405(1)) (Know Your Customer) | Topic Page
- FINRA Rule 2110 (Recommendations)
- FINRA Rule 2111 (FKA NASD 2310) (Suitability) | Topic Page
- FINRA Rule 2114 (FKA NASD 2315) (Recommendations to Customers in OTC Equity Securities) | Topic Page
- FINRA Rule 2120 (Commissions, Mark Ups and Charges)
- FINRA Rule 2121 (FKA NASD 2440) (Fair Prices and Commissions) | Topic Page
- FINRA Rule 2122 (FKA NASD 2430) (Charges for Services Performed) | Topic Page
- FINRA Rule 2124 (FKA NASD 2441) (Net Transactions with Customers) | Search
- FINRA Rule 2130 (FKA NASD 2360) (Approval Procedures for Day-Trading Accounts) | Topic Page
- FINRA Rule 2140 (FKA NASD IM-2110-7) (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) | Topic Page
- FINRA Rule 2150 (FKA NASD 2330(a), (e), (f)) (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) | Topic Page
- FINRA Rule 2165 (Financial Exploitation of Specified Adults) | Topic Page
- FINRA Rule 2210 (FKA NASD 2210) (Communications with the Public) | Topic Page
- FINRA Rule 2211 (FKA NASD IM-2210-2) (Communications with the Public About Variable Life Insurance and Variable Annuities) | Topic Page
- FINRA Rule 2212 (FKA NASD IM-2210-3) (Use of Investment Companies Rankings in Retail Communications) | Topic Page
- FINRA Rule 2213 (FKA NASD IM-2210-5) (Requirements for the Use of Bond Mutual Fund Volatility Ratings) | Topic Page
- FINRA Rule 2214 (FKA NASD IM-2210-6) (Requirements for the Use of Investment Analysis Tools) | Topic Page
- FINRA Rule 2215 (FKA NASD IM-2210-7) (Communications with the Public Regarding Security Futures) | Topic Page
- FINRA Rule 2216 (FKA NASD IM-2210-8) (Communications with the Public About Collateralized Mortgage Obligations (CMOs) | Topic Page
- FINRA Rule 2220 (FKA NASD 2220) (Options Communications) | Topic Page
- FINRA Rule 2230 (Customer Account Statements and Confirmations)
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FINRA Rule 2231 (Customer Account Statements) | Topic page
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FINRA Rule 2232 (FKA NASD IM-2110-6) (Customer Confirmations) | Topic Page
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- FINRA Rule 2240 (Conflicts of Interest)
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FINRA Rule 2241 (FKA NASD 2711) (Research Analysts and Research Reports) | Topic Page
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FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) | Topic Page
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- FINRA Rule 2251 (FKA NASD 2260) (Processing and Forwarding of Proxy and Other Issuer-Related Materials) | Topic Page
- FINRA Rule 2260-73 (Disclosures)
- FINRA Rule 2261 (FKA NASD 2270) (Disclosure of Financial Condition) | Topic Page
- FINRA Rule 2262 (FKA NASD 2240) (Disclosure of Control Relationship with Issuer) | Topic Page
- FINRA Rule 2263 (FKA NASD 3080) (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U-4) | Topic Page
- FINRA Rule 2264 (FKA NASD 2341) (Margin Disclosure Statement) | Topic Page
- FINRA Rule 2265 (Extended Hours Trading Risk Disclosure) | Topic Page
- FINRA Rule 2266 (FKA NASD 2342) (SIPC Information) | Topic Page
- FINRA Rule 2267 (FKA NASD 2280) (Investor Education and Protection) | Topic Page
- FINRA Rule 2268 (FKA NASD 3110(f)) (Requirements When Using Predispute Arbitration Agreements for Customer Accounts) | Topic Page
- FINRA Rule 2269 (FKA NASD 2250) (Disclosure of Participation or Interest in Primary or Secondary Distribution) | Topic Page
- FINRA Rule 2270 (FKA NASD 2361) (Day-Trading Risk Disclosure Statement) | Topic Page
- FINRA Rule 2272 (Sales and Offers of Sales of Securities on Military Installations) | Topic Page
- FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) | Topic Page
- FINRA Rule 2310 (FKA NASD 2810) (Direct Participation Programs) | Topic Page
- FINRA Rule 2320 (FKA NASD 2820) (Variable Contracts of an Insurance Company) | Topic Page
- FINRA Rule 2330 (FKA NASD 2821) (Members' Responsibilities Regarding Deferred Variable Annuities) | Topic Page
- FINRA Rule 2340 (Investment Companies)
- FINRA Rule 2341 (FKA NASD 2830) (Investment Company Securities) | Topic Page on Shelf Space Arrangements
- FINRA Rule 2342 (FKA NASD IM-2830-1) ("Breakpoint" Sales) | Topic Page
- FINRA Rule 2350 through FINRA Rule 2359 (Trading in Index Warrants, Currency Index Warrants and Currency Warrants) | Topic Page
- FINRA Rule 2360 (FKA NASD 2860) (Options) | Topic Page | Topic Page on LOPR
- FINRA Rule 2370 (FKA NASD 2865) (Security Futures) | Topic 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) | Topic Page
- FINRA Rule 3120 (FKA NASD 3012) (Supervisory Control System) | Topic Page
- FINRA Rule 3130 (FKA NASD 3013) (Annual Certification of Compliance and Supervisory Processes) | Topic Page
- FINRA Rule 3150 (FKA NASD 3110(i)) (Holding of Customer Mail) | Topic Page
- FINRA Rule 3160 (FKA NASD 2350) (Networking Arrangements Between Members and Financial Institutions) | Topic Page
- FINRA Rule 3170 (FKA NASD 3010(b)(2)) (Tape Recording of Registered Persons by Certain Firms) | Topic Page
- FINRA Rule 3210 (FKA NASD 3050) (Accounts At Other Broker-Dealers and Financial Institutions) | Topic Page
- FINRA Rule 3220 (FKA NASD 3060) (Influencing or Rewarding Employees of Others) | Topic Page
- FINRA Rule 3221 (Restrictions on Non-Cash Compensation (PROPOSED) | Topic Page on Sales Contests and Non-Cash Compensation
- FINRA Rule 3222 (Business Entertainment (PROPOSED) | Topic Page
- FINRA Rule 3223 (Exemptions (PROPOSED) | Topic Page
- FINRA Rule 3230 (FKA NASD 2212) (Telemarketing) | Topic Page
- FINRA Rule 3240 (FKA NASD 2370) (Borrowing From or Lending to Customers) | Topic Page
- FINRA Rule 3250 (FKA NYSE 406) (Designation of Accounts) | Topic Page
- FINRA Rule 3260 (Discretionary Accounts) | Topic Page
- FINRA Rule 3270 (FKA NASD 3030) (Outside Business Activities of Registered Persons) | Topic Page
- FINRA Rule 3280 (FKA NASD 3040) (Private Securities Transactions of an Associated Person) | Topic Page
- FINRA Rule 3290 (Outside Business Activities (PROPOSED) | Topic Page
- FINRA Rule 3310 (Anti-Money Laundering Compliance Program) | Topic Page
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FINRA Rule 4100 (Financial Condition)
- FINRA Rule 4110 (Capital Compliance) | Topic Page | Topic Page on Subordination Agreements
- FINRA Rule 4120 (FKA NASD 3130)(Regulatory Notification and Business Curtailment) | Topic Page
- FINRA Rule 4130 (FKA NASD 3131) (Regulation of Activities of Section 15C Members Experiencing Financial and/or Operational Difficulties) | Topic Page
- FINRA Rule 4140 (Audit) | Topic Page
- FINRA Rule 4150 (FKA NYSE 322) (Guarantees by, or Flow Through Benefits for, Members) | Topic Page
- FINRA Rule 4160 (Verification of Assets) | Topic Page
- FINRA Rule 4210 (FKA NASD 2520) (Margin Requirements) | Topic Page on Repurchase Agreements | on TBAs | on Margin Positions
- FINRA Rule 4220 (FKA NYSE 432(a)) (Daily Record of Required Margin) | Topic Page
- FINRA Rule 4230 (FKA NASD 3160) (Required Submissions for Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3) | Topic Page
- FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) | Topic Page
- FINRA Rule 4310 (Member Agreements and Contracts)
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FINRA Rule 4311 (FKA NASD 3230) (Carrying Agreements) | Topic Page
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FINRA Rule 4314 (FKA NYSE 296) (Securities Loans and Borrowings) | Topic Page
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- FINRA Rule 4320 (FKA NASD 3210) (Short Sale Delivery Requirements) | Topic Page
- FINRA Rule 4330 (FKA NYSE 402) (Customer Protection - Permissible Use of Customers' Securities) | Topic Page on Securities Lending
- FINRA Rule 4340 (FKA NYSE 402.30) (Callable Securities) | Topic Page
- FINRA Rule 4360 (FKA NASD 3020) (Fidelity Bonds) | Topic Page
- FINRA Rule 4370 (FKA NASD 3520) (Business Continuity Plans and Emergency Contact Information) | Topic 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) | Topic Page
- FINRA Rule 4512 (FKA NASD 3110(c)) (Customer Account Information) | Topic Page
- FINRA Rule 4513 (FKA NASD 3110(d)-(e)) (Records of Written Customer Complaints) | Topic 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) | Topic Page
- FINRA Rule 4517 (FKA NASD 1150) (Member Filing and Contact Information Requirements) | Topic 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) | Topic Page
- FINRA Rule 4522 (FKA NYSE 440.10) (Periodic Security Counts, Verifications and Comparisons) | Topic Page
- FINRA Rule 4523 (FKA NYSE 440.20) (Assignment of Responsibility for General Ledger Accounts and Identification of Suspense Accounts) | Topic Page
- FINRA Rule 4524 (Supplemental FOCUS Information) | Topic Page
- FINRA Rule 4530 (FKA NASD 3070) (Reporting Requirements) | Topic 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) | Topic Page
- FINRA Rule 4570 (FKA NASD 3121) (Custodian of Books and Records) | Topic Page
- FINRA Rule 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities) | Topic Page
- FINRA Rule 4590 (Synchronization of Member Business Clocks) | Topic Page
- FINRA Rule 5110 (FKA NASD 2710(a)) (Corporate Financing Rule - Underwriting Terms and Arrangements) | Topic Page
- FINRA Rule 5120 (Offerings of Members’ Securities)
- FINRA Rule 5121 (FKA NASD 2720) (Public Offerings of Securities With Conflicts of Interest) | Topic Page
- FINRA Rule 5122 (Private Placements of Securities Issued by Members) | Topic Page
- FINRA Rule 5123 (Private Placements of Securities) | Topic Page
- FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) | Topic Page
- FINRA Rule 5131 (New Issue Allocations and Distributions) | Topic Page
- FINRA Rule 5141 (FKA NASD 0120(h)) (Sale of Securities in a Fixed Price Offering) | Topic Page
- FINRA Rule 5150 (FKA NASD 2290) (Fairness Opinions) |Search
- FINRA Rule 5160 (FKA NASD 2770) (Disclosure of Price and Concessions in Selling Agreements) | Topic Page
- FINRA Rule 5190 (FKA NASD 2710(b)(10-11)) (Notification Requirements for Offering Participants) | Topic Page
- FINRA Rule 5210 (FKA NASD 3310) (Publication of Transactions and Quotations) | Topic Page
- FINRA Rule 5220 (FKA NASD 3320) (Offers at Stated Prices) | Topic 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) | Topic Page
- FINRA Rule 5250 (FKA NASD 2460) (Payments for Market Making) | Topic Page
- FINRA Rule 5260 (FKA NASD 3340) (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) | Topic Page
- FINRA Rule 5270 (FKA NASD IM-2110-3) (Front Running of Block Transactions) | Topic Page
- FINRA Rule 5280 (FKA NASD IM-2110-4) (Trading Ahead of Research Reports) | Topic Page
- FINRA Rule 5290 (FKA NASD 3380) (Order Entry and Execution Practices) | Search
- FINRA Rule 5310 (FKA NASD 2320) (Best Execution and Interpositioning) | Topic Page
- FINRA Rule 5320 (FKA NASD IM-2110-2) (Prohibition Against Trading Ahead of Customer Orders) | Topic Page
- FINRA Rule 5330 (FKA NASD 3220) (Adjustment of Orders) | Topic Page
- FINRA Rule 6120 (FKA NASD 4633, 4120A, 4633C, 4633E) (Trading Halts) | Topic Page
- FINRA Rule 6121 (Trading Halts due to Extraordinary Market Volatility) | Topic Page
- FINRA Rule 6190 (Compliance with NMS Plan to address Extraordinary Market Volatility) | Topic Page
- FINRA Rule 6200 Series (Alternative Display Facility and related Rules); see also FINRA Rule 6270 (Quote and trading); FINRA Rule 6280 (Transaction reporting) | Topic Page
- FINRA Rule 6400 Series (Quoting and Trading OTC Equities) | Topic Page
- FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) | Topic Page
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FINRA Rule 6500 Series (OTC Bulletin Board Service ("OTCBB") and related Rules) | Topic Page
- FINRA Rule 6700 Series (Trade Reporting and Compliance Engine ("TRACE") and related Rules) | Topic Page
- FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule ("CAT")) | Topic Page