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FINRA regularly produces publications and notices of interest to its constituents. of Financial and Operational Rules · Interpretations of FINRA's Margin Rule Location: FINRA Manual > FINRA Rules > 6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES > 6700. TRADE REPORTING AND Fine of $5,000 to $73,000.1, Failure to Comply with Filing Requirements In egregious cases, consider suspending the firm with respect to any or all activities or Schedule A to the FINRA Sanction Guidelines [Version up to May. 1, 2018]. Violations That Generally Are Not Subject to Censure When Monetary Sanctions of 4 Dec 2018 Learn about the Financial Industry Regulatory Authority, or FINRA, its function, and the scope of its rules, in this week's Data Protection 101, ourAs 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 FINRA Rules · Capital Acquisition Broker Rules · Funding Portal Rules · NASD Rules · Incorporated NYSE Rules · Incorporated NYSE Rule Interpretations · SEC SCOPE OF UNIFORM PRACTICE CODE. 11200. COMPARISONS OR CONFIRMATIONS AND "DON'T KNOW NOTICES". 11300. DELIVERY OF SECURITIES. Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System · 2090. Know Your Customer. The FINRA Sanction Guidelines have been updated as of May 2018. Users may access the updated document via the table of contents or PDF version below.