FINRA is a non-governmental organization that acts as a regulator for securities firms doing business in the U.S. FINRA was formed by the consolidation in 2007 of the enforcement function of the New York Stock Exchange (NYSE) with the National Association of Securities Dealers (NASD).
FINRA Manual
Contains the organizational documents of FINRA, as well as rules and regulations applicable to the business and operation of securities firms subject to FINRA’s authority.
FINRA Website
Lexis
National Association of Securities Dealers (NASD) Manual
Westlaw
Wolters Kluwer (Cheetah)
Cheetah database, under the heading Exchanges & SROs > FINRA > FINRA Manual.
Notices to Members
Provide time-sensitive information to FINRA member firms about rule amendments, compliance guidelines, legal interpretations, actions by FINRA against firms and individuals, and other announcements.
FINRA Website
http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=613
Lexis
Financial Industry Regulatory Authority (FINRA/NASD) Notices to Members
Westlaw
National Association of Securities Dealers (NASD) Notices to Members
Disciplinary Actions
Decisions resulting from disciplinary proceedings that investigate improper conduct or rule violations.
FINRA Website
http://www.finra.org/Industry/Enforcement/DisciplinaryActions/MonthlyActions/2011/
Summaries of actions.
http://www.finra.org/Industry/Enforcement/Adjudication/OHO/index.htm
Full text of decisions.
Lexis
Financial Industry Regulatory Authority (FINRA/NASD) Disciplinary Actions
Westlaw
Financial Industry Regulatory Authority Disciplinary Decisions
Cheetah database, under the heading Securities--All >Exchanges & SROs > Rules & Guides > FINRA.
Arbitration Awards
Awards based on the results of the arbitration of disputes, claims, and controversies arising out of the business of a member firm.
FINRA Website
FINRA Arbitration Awards Online Database http://www.finra.org/ArbitrationMediation/FormsTools/p018127
Lexis
Financial Industry Regulatory Authority (FINRA/NASD) Arbitration Awards
Westlaw
Rules
The rules of the NYSE.
NYSE Website
http://nyserules.nyse.com/nyse/rules/
Lexis
New York Stock Exchange Constitution and Rules
Westlaw
Cheetah database, under the heading Exchanges & SROs > NYSE > NYSE Guide.
Listed Company Manual
The NYSE’s manual of policies and procedures on corporate governance, shareholder communications, shareholder approvals, and other matters applicable to companies listed on the NYSE.
NYSE Website
http://nysemanual.nyse.com/lcm/
Lexis
Westlaw
Wolters Kluwer (Cheetah)
Cheetah database, under the heading Securities-All >Exchanges & SROs > Rules & Guides >NYSE > NYSE Listed Company Manual.
Rule Interpretations
Interpretations and clarifications of the NYSE Rules.
NYSE Website
http://usequities.nyx.com/regulation/nyse-rules-and-interpretations/rule-interpretations
Lexis
Westlaw
Wolters Kluwer (Cheetah)
Cheetah database, under the heading Exchanges & SROs > NYSE > NYSE Interpretation Handbook.
Information Memos
Memos issued by the NYSE that contain information on procedures, changes, and events with respect to the NYSE.
NYSE Website
http://www.nyse.com/nysenotices/nyse/information-memos/list
Lexis
New York Stock Exchange Information Memos
Westlaw
Wolters Kluwer (Cheetah)
Cheetah database, under the heading Securities-All > Exchanges & SROs > Rules & Guides > NYSE > NYSE Guide > NYSE Information Memos
Disciplinary Actions
Decisions with respect to alleged violations of NYSE rules.
NYSE Website
http://usequities.nyx.com/regulation/nyse-disciplinary-action
Lexis
New York Stock Exchange Disciplinary Actions
Westlaw
Wolters Kluwer (Cheetah)
Cheetah database, under the heading Securities-All > Exchanges & SROs > Rules & Guides > NYSE > NYSE Disciplinary Actions.
Arbitration Decisions
Arbitration awards issued by the NYSE.
Lexis
New York Stock Exchange Arbitration Decisions
Westlaw
NYSE Amex LLC Operating Agreement
This organizational document replaced the constitution of the American Stock Exchange.
NYSE AMEX Website
Rules
The rules of NYSE American.
NYSE American Website
http://wallstreet.cch.com/AMEX/Rules/
Company Guide
A manual of policies and procedures applicable to companies listed on the NYSE American.
NYSE American Website
https://www.nyse.com/markets/nyse-american
Rules
The rules governing the NASDAQ Stock Market.
NASDAQ Website
https://listingcenter.nasdaqomx.com/Show_Doc.aspx?File=LegalCompliance.html