Financial Industry Regulatory Authority (FINRA) Rule Sets Authoritative Source Content

Document created by Christine Tran Employee on Nov 13, 2018Last modified by Susan Read-Miller on Nov 27, 2018
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As part of it's role as regulator of securities firms and brokers, FINRA enacts rules and publishes guidance to protect investors and promote market integrity.  FINRA Rules 2000-7000 cover various aspects regarding operations and transactions with customers as well as duties and practices with securities offerings. 

 

This content pack contains the complete FINRA Rule Sets for the following:

  • 2000 - Duties and Conflicts
  • 3000 - Supervision and Responsibilities Relating to Associated Persons
  • 4000 - Financial and Operational Rules
  • 5000 - Securities Offering and Trading Standards and Practices
  • 6000 - Quotation, Order, and Transaction Reporting Facilities
  • 7000 - Clearing, Transaction and Order Data Requirements, and Facility Charges

 

Languages

This content is available in English only.

 

Mappings

Mappings for the FINRA Rule Sets 2000-7000 to the RSA Archer Control Standard Library are available in the authoritative source content pack.

 

Content Source

The source of this content comes from the FINRA Rule Set.

 

Licensing Restrictions

The FINRA Rule Sets 2000-7000 Authoritative Source is available with the use of the RSA Archer Policy Program Management, RSA Archer Controls Monitoring Program Management, and/or RSA Archer Authorization and Assessment use cases. No additional license is required.

 

For More Information

To learn more about the FINRA Rule Sets 2000-7000 Authoritative Source Content:

 

For Additional Support

To learn more about this content, please contact your Account Rep for additional details. For technical support questions, please open a support case or contact RSA Archer at archersupport@rsa.com for more information.

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