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