FINRA Rules for Broker-Dealers
FINRA conduct, supervision, AML, business continuity, customer account, reporting and account-transfer rules for member broker-dealers, including self-clearing carrying firms.
- Issued by
- FINRA
- Applies in
- United States
- Edition
- FINRA Rulebook as of September 2026
- Area
- Conduct & prudential
What an assessor reads first.
The headline requirements in Amoreg’s catalogue, in the issuer’s own numbering where it has one. They are where a review starts, not a transcription of the text.
- 2090/2111Know your customer and suitability of recommendationsConduct
- 2210Fair, balanced and approved communications with the publicCommunications
- 3110/3120Supervisory system, WSPs and annually tested supervisory controlsSupervision
- 3130Chief compliance officer and annual CEO certificationGovernance
- 3310Written AML programme with independent testing and designated AML officerFinancial crime
- 4370Business continuity plan, annual review and emergency contactsResilience
- 4512/2165Customer account records, trusted contact and exploitation holdsCustomer protection
- 4530Reporting of specified events and quarterly complaint statisticsReporting
- 2231/2232/11870Account statements, confirmations and timely ACATS transfersOperations
How Amoreg keeps you on it.
Enable the FINRA Rules for Broker-Dealers and add FINRA’s pages as a monitor of your own. Every publication it records keeps its source, stage and date.
Inspector reads your policies against these 9 requirements every week and opens a finding wherever one falls short, citing the rule and drafting the fix. A person decides what is applied.
Each week
- Read FINRA’s pages
- Check the library against 9 requirements
- Open findings with drafted fixes
- Wait for a person to decide
Policy does not yet set out: know your customer and suitability of recommendations
- Rule
- FINRA Rules for Broker-Dealers, 2090/2111
- Area
- Conduct
- Proposed by
- Inspector
- Decided by
- A named person, once reviewed
The same ground, elsewhere.
- Senior Managers & Certification RegimeIndividual accountability: senior manager responsibilities, certification and conduct rules.United Kingdom · 5 controls
- FCA Consumer DutyThe Consumer Principle, cross-cutting rules and four outcomes for retail customers.United Kingdom · 6 controls
- FCA Handbook — SYSC (Senior Management Arrangements, Systems and Controls)Governance, compliance, risk control, internal audit, record keeping and financial crime systems and controls.United Kingdom · 6 controls
- FCA Handbook — COBS (Conduct of Business)Conduct of business rules for investment business: client categorisation, suitability, disclosure, best execution.United Kingdom · 6 controls
- MiFID II / MiFIRInvestor protection, product governance, transparency and transaction reporting for investment firms.European Union · 6 controls
- PRA Rulebook — Fundamental RulesThe eight fundamental rules for PRA-authorised banks, insurers and designated investment firms.United Kingdom · 6 controls
Also in United States
- US Bank Secrecy Act / FinCEN AML ProgramBSA AML programme requirements: the pillars, CDD rule, SAR/CTR reporting and beneficial ownership.United States · 6 controls
- OFAC Sanctions Compliance ProgramThe five essential components of an effective sanctions compliance programme.United States · 5 controls
- US Foreign Corrupt Practices ActAnti-bribery and books-and-records provisions, assessed against the DOJ's Evaluation of Corporate Compliance Programs.United States · 4 controls
- GLBA Safeguards RuleThe information security programme financial institutions must maintain for customer information.United States · 5 controls
- NIST Cybersecurity Framework 2.0Six functions for managing cybersecurity risk, now including Govern.United States / Global · 6 controls
- NYDFS Cybersecurity Regulation (23 NYCRR 500)Cybersecurity requirements for DFS-licensed entities, with CISO, MFA, annual certification and 72-hour notice.United States — New York · 6 controls
Questions
Does Amoreg watch for changes to the FINRA Rules for Broker-Dealers?
Enable it and add the issuer’s pages as a monitor of your own. Every publication the Monitor records keeps its source, stage and date.
Can Amoreg check our policies against the FINRA Rules for Broker-Dealers?
Yes. Inspector reads your library against its requirements every week and opens a finding, with the rule it cites and a proposed fix, wherever a policy falls short. A person decides what is applied.
Which edition does Amoreg use?
The catalogue records FINRA Rulebook as of September 2026. Editions were last verified in August 2026, and the Monitor records new publications as they appear.