FINRA Manual Updates

Recently updated entries of the FINRA Manual

  • 6540. Dissemination of Loan Information ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 6550. Emergency Authority ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 6530. Reporting Securities Loan Information ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 6520. Participation in SLATE ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 6510. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)
  • 7720. Securities Lending and Transparency Engine (SLATE) ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7700. CHARGES FOR OTC REPORTING FACILITY AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES
  • 13808. Accelerated Processing ( )
    FINRA Rules >> 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES >> PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; INJUNCTIVE RELIEF; EXPUNGEMENT PROCEEDINGS; AND PROMISSORY NOTE PROCEEDINGS
  • 12808. Accelerated Processing ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART VIII SIMPLIFIED ARBITRATION DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS
  • 12403. Cases with Three Arbitrators ( )
    FINRA Rules >> 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES >> PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
  • 6279. Alternative Trading Systems ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6200. ALTERNATIVE DISPLAY FACILITY >> 6270. Quoting and Trading in ADF-Eligible Securities
  • 7620A. FINRA/Nasdaq Trade Reporting Facility Reporting Fees ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES
  • 5220. Offers at Stated Prices ( )
    FINRA Rules >> 5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES >> 5200. QUOTATION AND TRADING OBLIGATIONS AND PRACTICES
  • 6272. Character of Quotations ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6200. ALTERNATIVE DISPLAY FACILITY >> 6270. Quoting and Trading in ADF-Eligible Securities
  • 6320B. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES >> 6300B. FINRA/NYSE TRADE REPORTING FACILITY
  • 5320. Prohibition Against Trading Ahead of Customer Orders ( )
    FINRA Rules >> 5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES >> 5300. HANDLING OF CUSTOMER ORDERS
  • 6220. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6200. ALTERNATIVE DISPLAY FACILITY
  • 6320A. Definitions ( )
    FINRA Rules >> 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES >> 6300. TRADE REPORTING FACILITIES
  • 7620B. FINRA/NYSE Trade Reporting Facility Reporting Fees ( )
    FINRA Rules >> 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES >> 7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES >> 7600B. CHARGES FOR FINRA/NYSE TRADE REPORTING FACILITY SERVICES