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FINRA Manual

FINRA Manual by

FINRA Manual

Publication Frequency
Monthly
Product Line
Wolters Kluwer Legal & Regulatory U.S.
Available formats

Details

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.

SKU: 000000000010021826
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

Access authoritative information about FINRA - The FINRA Manual provides pertinent information on the administration, organization, and rules.

The FINRA Manual includes:

  • Conversion Charts
  • Corporate Organization and By-laws
  • FINRA Rules, including Code of Arbitration Procedure and Uniform Practice Code
  • NASD Rules
  • Incorporated NYSE Rules and Interpretations

Find all the information you need in one resource - Everything in the FINRA Manual is indexed and tabled for effective use. You no longer have to waste time wading through unorganized documents or searching online for information housed in dozens of Web sites. The FINRA Manual has all the information you need to comply with FINRA regulatory requirements in one convenient location.

Online subscribers benefit by being able to search the FINRA rules along with one or more exchange rule sets and even the SEC, all in a single search; using the powerful workflow tools within IntelliConnect.

Frequent updates keep you current - A montly Report Letter summarizess significant new developments to quickly bring you up to speed. You'll stay in touch with FINRA developments, Rules of Fair Practice, rules governing FINRA and much more.

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