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FINRA Utility Menu

About Us
Careers
BrokerCheck
Data
Media Center
For Firms

For the Public

FINRA DATA

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

Login

For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

Login

For Member Firms

FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

Login

For Case Participants

DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

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Retired Rules
Retired Incorporated NYSE Rules

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Operation of Member Organizations (Rules 325-465)

The Rule Notices Guidance News Releases FAQs

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Capital Requirements (Rules 325-328)

Rule 325. Capital Requirements Member Organizations

Rule 326(a). Growth Capital Requirement

Rule 326(b). Business Reduction Capital Requirement

Rule 326(c). Unsecured Loans and Advances

Rule 326(d). Reduction of Elimination of Loans and Advances

Rule 328. Sale-And-Leasebacks, Factoring, Financing and Similar Arrangements

Offices and Employees (Rules 341-354)

Rule 342. Offices—Approval, Supervision and Control

Rule 343. Offices—Sole Tenancy, and Hours

Rule 344. Research Analysts and Supervisory Analysts

Rule 345. Employees—Registration, Approval, Records

Rule 346. Limitations—Employment and Association with Members and Member Organizations

Rule 350. Compensation or Gratuities to Employees of Others

Rule 351. Reporting Requirements

Rule 352. Guarantees, Sharing in Accounts, and Loan Arrangements

Rule 353. Rebates and Compensation

Rule 354. Reports to Control Persons

Commissions (Rules 365-390)

Rule 375. Missing the Market

Rule 382. Carrying Agreements

Rule 387. COD Orders

Special Offerings, Exchange, and Secondary Distribution (Rules 391-396)

Rule 392. Notification Requirements for Offerings of Listed Securities

Conduct of Accounts (Rules 401-414)

Rule 401. Business Conduct

Rule 401A. Customer Complaints

Rule 402. Customer Protection—Reserves and Custody of Securities

Rule 404. Individual Members Not to Carry Accounts

Rule 405. Diligence as to Accounts

Rule 405A. Non-Managed Fee-Based Account Programs—Disclosure and Monitoring

Rule 406. Designation of Accounts

Rule 407. Transactions—Employees of Members, Member Organizations and the Exchange

Rule 407A. Disclosure of All Member Accounts

Rule 408. Discretionary Power in Customers' Accounts

Rule 409. Statements of Accounts to Customers

Rule 409A. SIPC Disclosures

Rule 410. Records of Orders

Rule 411. Erroneous Reports

Rule 412. Customer Account Transfer Contracts

Rule 413. Uniform Forms

Rule 414. Index and Currency Warrants

Financial Statements and Reports (Rules 415-425)

Rule 416. Questionnaires and Reports

Rule 416A. Member And Member Organization Profile Information Updates And Quarterly Certifications Via The Electronic Filing Platform

Rule 418. Audit

Rule 420. Reports of Borrowings and Subordinate Loans For Capital Purposes

Rule 421. Periodic Reports

Rule 424. Reports of Options

Margins (Rules 430-434)

Rule 430. Partial Delivery of Securities to Customers on C.O.D. Purchases

Rule 431. Margin Requirements

Rule 432. Daily Record of Required Margin

Rule 434. Required Submission of Requests for Extensions of Time for Customers

Miscellaneous Rules and Provisions (Rules 435-440K)

Rule 435. Miscellaneous Prohibitions

Rule 436. Interest on Credit Balances

Rule 440. Books and Records

Rule 440A. Telephone Solicitation

Rule 440F. Public Short Sale Transactions Effected on the Exchange

Rule 440G. Transactions in Stocks and Warrants for the Accounts of Members, Principal Executives and Member Organizations

Rule 440I. Records of Compensation Arrangements—Floor Brokerage

Rule 445. Anti-Money Laundering Compliance Program

Rule 446. Business Continuity and Contingency Plans

Book traversal links for Operation of Member Organizations (Rules 325-465)

‹ Rule 322. Guarantees by, or Flow Through Benefits for Members or Member Organizations
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Capital Requirements (Rules 325-328) ›

Disclaimer: The summary and detailed topics are only available for 40 FINRA Rules and have been applied as part of the FINRA Rulebook Search Tool™ (FIRST™) prototype. FIRST is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. Usage or reliance on this tool is not a defense to a failure to comply with the FINRA rules. Learn More