0100. GENERAL STANDARDS
1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
1100. MEMBER APPLICATION
1120. Member Application Process
1200. REGISTRATION AND QUALIFICATION
2000. DUTIES AND CONFLICTS
2100. TRANSACTIONS WITH CUSTOMERS
2110. Recommendations
2120. Commissions, Mark Ups and Charges
2200. COMMUNICATIONS AND DISCLOSURES
2230. Customer Account Statements and Confirmations
2240. CONFLICTS OF INTEREST
2250. Proxy Materials
2260. Disclosures
2300. SPECIAL PRODUCTS
2340. Investment Companies
2350. Trading in Index Warrants, Currency Index Warrants and Currency Warrants
3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
3100. SUPERVISORY RESPONSIBILITIES
3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
3300. ANTI-MONEY LAUNDERING
4000. FINANCIAL AND OPERATIONAL RULES
4100. FINANCIAL CONDITION
4200. MARGIN
4500. BOOKS, RECORDS AND REPORTS
4510. Books and Records Requirements
4520. Financial Records and Reporting Requirements
4550. ATS Reporting
5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES
5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION
5120. Offerings of Members’ Securities
5140. Integrity of Fixed Price Offerings
5200. QUOTATION AND TRADING OBLIGATIONS AND PRACTICES
6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES
6100. QUOTING AND TRADING IN NMS STOCKS
6180. Transaction Reporting
6200. ALTERNATIVE DISPLAY FACILITY
6270. Quoting and Trading in ADF-Eligible Securities
6280. Transaction Reporting
6300. TRADE REPORTING FACILITIES
6300B. FINRA/NYSE TRADE REPORTING FACILITY
6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES
6430. OTC Equity Quotation Requirements
6600. OTC REPORTING FACILITY
6620. Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE
7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES
7100. ALTERNATIVE DISPLAY FACILITY
7200. TRADE REPORTING FACILITIES
7300. OTC REPORTING FACILITY
7500. CHARGES FOR ALTERNATIVE DISPLAY FACILITY SERVICES AND EQUIPMENT
7580. Capacity Fees and Penalties
7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES
7600B. CHARGES FOR FINRA/NYSE TRADE REPORTING FACILITY SERVICES
7700. CHARGES FOR OTC REPORTING FACILITY AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES
8000. INVESTIGATIONS AND SANCTIONS
8100. GENERAL PROVISIONS
8200. INVESTIGATIONS
8300. SANCTIONS
9000. CODE OF PROCEDURE
9100. APPLICATION AND PURPOSE
9200. DISCIPLINARY PROCEEDINGS
9210. Complaint and Answer
9220. Request for Hearing; Extensions of Time, Postponements, Adjournments
9230. Appointment of Hearing Panel, Extended Hearing Panel
9240. Pre-hearing Conference and Submission
9250. Discovery
9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW
9310. Appeal to or Review by National Adjudicatory Council
9320. Transmission of Record; Extensions of Time, Postponements, Adjournments
9330. Appointment of Subcommittee or Extended Proceeding Committee; Disqualification and Recusal
9340. Proceedings
9500. OTHER PROCEEDINGS
9550. Expedited Proceedings
9600. PROCEDURES FOR EXEMPTIONS
9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS
9900. RESTRICTIONS ON FORMER FINRA OFFICERS AND EMPLOYEES; NONPUBLIC INFORMATION
11000. UNIFORM PRACTICE CODE
11200. COMPARISONS OR CONFIRMATIONS AND "DON'T KNOW NOTICES"
11300. DELIVERY OF SECURITIES
11400. DELIVERY OF SECURITIES WITH DRAFT ATTACHED
11500. DELIVERY OF SECURITIES WITH RESTRICTIONS
11570. Certificates in Various Names
11600. DELIVERY OF BONDS AND OTHER EVIDENCES OF INDEBTEDNESS
11700. RECLAMATIONS AND REJECTIONS
11800. CLOSE-OUT PROCEDURES
12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
PART II GENERAL ARBITRATION RULES
PART III INITIATING AND RESPONDING TO CLAIMS
PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
PART V PREHEARING PROCEDURES AND DISCOVERY
PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
PART VIII SIMPLIFIED ARBITRATION DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS
13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
PART II GENERAL ARBITRATION RULES
PART III INITIATING AND RESPONDING TO CLAIMS
PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
PART V PREHEARING PROCEDURES AND DISCOVERY
PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
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
14000. CODE OF MEDIATION PROCEDURE