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FINRA Manual | FINRA.org

The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main componen
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Recent Updates | FINRA.org

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
https://www.finra.org/rules-guidance/rulebooks/updates - Details - Similar

FINRA Rule Consolidation | FINRA.org

FINRA is working toward a new consolidated rulebook, which seeks not only to harmonize and streamline existing rules, but also to give consideration to the rapidly evolving nature of the securities business and the broad
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Notices | FINRA.org

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
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Adjudications Decisions | FINRA.org

When FINRA determines that violations of securities rules have occurred and formal disciplinary action is necessary, the Enforcement Department files a complaint with the Office of Hearing Officers (OHO). The Office arra
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National Adjudicatory Council | FINRA.org

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Office of Hearing Officers | FINRA.org

Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining of members, and persons associated with members, and the enforcement of FINRA’s rules
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Frequently Asked Questions | FINRA.org

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Interpreting the Rules | FINRA.org

A critical function performed by FINRA Office of General Counsel (OGC) staff is to provide broker-dealers, attorneys, registered representatives, investors, and other interested parties with interpretive guidance relatin
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Key Topics | FINRA.org

On this page you ll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, gu
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