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  • Rules & Guidance
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  1. Rules & Guidance
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EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
    • Interpretive Questions
  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
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  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
    • Sanction Guidelines
    • Individuals Barred by FINRA
  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Approved Rule Changes Pending Determination of Effective Date
SR-FINRA-2023-015
  • 6710. Definitions
  • 6750. Dissemination of Transaction Information
  • 7730. Trade Reporting and Compliance Engine (TRACE)
SR-FINRA-2023-013
  • 12208. Representation of Parties
  • 13208. Representation of Parties
  • 14106. Representation of Parties
SR-FINRA-2022-031
  • 6151. Disclosure of Order Routing Information for NMS Securities
  • 6470. Disclosure of Order Routing Information for OTC Equity Securities
SR-FINRA-2019-008
  • 2232. Customer Confirmations
  • 6710. Definitions
  • 6760. Obligation To Provide Notice
SR-FINRA-2010-056
  • 1113. Restriction Pertaining to New Member Applications
  • 9521. Purpose and Definitions
  • 9522. Initiation of Eligibility Proceeding; Member Regulation Consideration
  • 9523. Acceptance of Member Regulation Recommendations and Supervisory Plans by Consent Pursuant to SEA Rule 19h-1
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ARBITRATION & MEDIATION

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