For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
This rule is no longer applicable.
This rule is no longer applicable. Incorporated NYSE Rule 410 has been superseded by FINRA Rule 4510 Series. Please consult the appropriate FINRA Rule.
This rule is no longer applicable effective August 17, 2009.
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. Incorporated NYSE Rule 407 has been superseded by FINRA Rule 3210. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. Incorporated NYSE Rule 406 has been superseded by FINRA Rule 3250. Please consult the appropriate FINRA Rule.
No member organization shall carry an account on its books in the name of a person other than that of the customer, except that an account may be designated by a number or symbol, provided the organization has on file a written statement signed by the customer attesting the ownership of such account.
This rule is no longer applicable effective December 15, 2008.
This rule is no longer applicable. Incorporated NYSE Rule 405 has been superseded by FINRA Rule 2111. Please consult the appropriate FINRA Rule.
Every member organization is required through a principal executive or a person or persons designated under the provisions of Rule 342(b)(1) [¶2342] to
This rule is no longer applicable effective November 11, 2008.
No member organization shall carry accounts or hold securities for customers without receiving the prior approval of the Exchange. No member, doing business as an individual, shall carry accounts for customers, except as provided in Rule 311(h) [¶2311].