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FINRA Rule 2111 governs general suitability obligations, while certain securities are covered under other rules that may contain additional requirements. Both firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing Rules & Guidance You can find FINRA's membership requirements for BD firms in the NASD Rule 1010 Series. Search FINRA Manual: Quick Search Administrative content, such as forms, committee lists and the list of members, can be found on finra.org · View Recent SR-FINRA-2019-015, Proposed Rule Change to Update the FINRA Manual to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules. FINRA is a not-for-profit organization authorized by Congress to protect Check the background of an investment professional. Access the information, training and other resources you need to comply with FINRA rules and regulations. As part of its mandate to protect investors and promote market integrity, FINRA enacts rules and publishes guidance in its role as regulator of securities firms and Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at Tools, templates and checklists to help your firm comply with FINRA rules one-stop source for firms searching for vendors that offer compliance-related The singlemost reliable, current source for FINRA rules, Notices to Members, Interpretations, etc. Available online, in loose-leaf with monthly updates, and as anManual Search. FINRA Application of Rules to Exempted Securities Except Municipal Securities. 0151. Discretionary Review by FINRA Board. 1017.