Skip to main content
Banner Home Page Link
Richmond Law Homepage

Securities Regulation

This Guide provides lists of suggested resources for researching various securities law topics.

Financial Self-Regulatory Industry Regulatory Authority (FINRA)

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

 

http://finra.complinet.com/

 

Lexis

 

National Association of Securities Dealers (NASD) Manual

 

Westlaw

 

NASDAQ Manual

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect 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

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect database, under the heading Exchanges & SROs > FINRA > FINRA Disciplinary Decisions.

 

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

 

Financial Industry Regulatory Authority Arbitration Awards

New York Stock Exchange (NYSE)

Rules

The rules of the NYSE.

 

NYSE Website

 

http://nyserules.nyse.com/nyse/rules/

 

Lexis

 

New York Stock Exchange Constitution and Rules

 

Westlaw

 

NYSE Constitution and Rules

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect 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

 

NYSE Listed Company Manual

 

Westlaw

 

NYSE Listed Company Manual

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect database, under the heading Exchanges & SROs > 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

 

NYSE Interpretation Handbook

 

Westlaw

 

NYSE Interpretation Handbook

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect 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

 

NYSE Information Memos

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect database, under the heading Exchanges & SROs > 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

 

NYSE Disciplinary Decisions

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect database, under the heading Exchanges & SROs > NYSE > NYSE Disciplinary Actions.

 

Arbitration Decisions

Arbitration awards issued by the NYSE.

 

Lexis

 

New York Stock Exchange Arbitration Decisions

 

Westlaw

 

NYSE Arbitration Decisions

NYSE Amex (formerly the American Stock Exchange)

NYSE Amex LLC Operating Agreement

This organizational document replaced the constitution of the American Stock Exchange.

 

 

NYSE AMEX Website

 

http://wallstreet.cch.com/AMEX/Constitution/

 

Rules

The rules of NYSE Amex.

 

NYSE AMEX Website

 

http://wallstreet.cch.com/AMEX/Rules/

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect database, under the heading Exchanges & SROs > NYSE Amex > NYSE Amex Guide.

 

Company Guide

A manual of policies and procedures applicable to companies listed on the NYSE Amex.

 

NYSE AMEX Website

 

http://wallstreet.cch.com/AMEX/CompanyGuide/

 

Commerce Clearing House (CCH)

 

CCH Intelliconnect database, under the heading Exchanges & SROs > NYSE Amex > NYSE Amex Guide > NYSE Amex LLC Company Guide.

 


NASDAQ Stock Market

Rules

The rules governing the NASDAQ Stock Market.

 

NASDAQ Website

 

https://listingcenter.nasdaqomx.com/Show_Doc.aspx?File=LegalCompliance.html

Libguide Window Footer Facebook Link Twitter Link