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FINRA Manual

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Overview

Established under authority granted by the 1938 Maloney Act Amendments to Securities Exchange Act of 1934, the Financial Industry Regulatory Authority (FINRA...formerly NASD) is a regulator of the securities industry in the United States.

Published for FINRA, this subscription service includes FINRA Rules, NASD Rules, Incorporated NYSE Rules, Notices to Members, and pertinent SEC rules. The Internet version includes an archive of rules as they existed in the past, dating back over 10 years.

Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010021826
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010030729
Table of Contents
Corporate Organization
  • Rule Conversion Chart
  • FINRA Rules, including Code of Arbitration Procedure and Uniform Practice Code
  • remaining NASD Rules
  • Incorporated NYSE Rules and Interpretations
  • Notices to Members

Volumes