The Resource FINRA Manual

FINRA Manual

Label
FINRA Manual
Title
FINRA Manual
Contributor
Issuing body
Subject
Genre
Language
eng
Summary
The comprehensive source for pertinent information on the organization, rules and regulations of the Financial Industry Regulatory Authority (FINRA , formerly NASD). The FINRA Manual contains the current full-text rules -- FINRA Rules, Incorporated NYSE Rules, and remaining NASD Rulesas well as fees listings, codes of procedure, uniform practice code and selected SEC rules. Notices to Members from 1983 through current and Regulatory -- Compliance Alerts through 2003 are available
Member of
Cataloging source
IlRwWKL
http://bibfra.me/vocab/lite/collectionName
Cheetah (Online database)
Entry convention
integrated entry
Frequency
other
LC call number
KF1444
LC item number
.F35 2003 ONLINE
Nature of contents
dictionaries
Nature of entire work
bibliography
Original alphabet or script of title
other
Regularity
regular
http://library.link/vocab/relatedWorkOrContributorName
Wolters Kluwer (Firm)
http://library.link/vocab/subjectName
  • Brokers
  • Securities
Label
FINRA Manual
Instantiates
Publication
Bibliography note
Includes bibliographical references and index
Carrier category
online resource
Carrier category code
  • cr
Carrier MARC source
rdacarrier
Content category
text
Content type code
  • txt
Content type MARC source
rdacontent
Contents
  • Notices
  • Regulatory and Compliance Alerts
  • Conversion Charts
  • Corporate Organization
  • FINRA Rules
  • Funding Portal Rules
  • NASD Rules
  • Incorporated NYSE Rules
  • Incorporated NYSE Rule Interpretations
  • FINRA Key Word Index
Control code
wkl201600359
Extent
1 online resource
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
  • c
Other physical details
digital
Publication frequency
As needed
Specific material designation
remote
System control number
wkl201600359
Label
FINRA Manual
Publication
Bibliography note
Includes bibliographical references and index
Carrier category
online resource
Carrier category code
  • cr
Carrier MARC source
rdacarrier
Content category
text
Content type code
  • txt
Content type MARC source
rdacontent
Contents
  • Notices
  • Regulatory and Compliance Alerts
  • Conversion Charts
  • Corporate Organization
  • FINRA Rules
  • Funding Portal Rules
  • NASD Rules
  • Incorporated NYSE Rules
  • Incorporated NYSE Rule Interpretations
  • FINRA Key Word Index
Control code
wkl201600359
Extent
1 online resource
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
  • c
Other physical details
digital
Publication frequency
As needed
Specific material designation
remote
System control number
wkl201600359

Library Locations

    • Pardee Legal Research CenterBorrow it
      5998 Alcalá Park, San Diego, CA, 92110-2492, US
      32.771471 -117.187496
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