2.5 FINRA Rules and Regulations

In this section

• FINRA Membership and Governance
  Explore the essential role of FINRA in regulating broker-dealers and registered representatives, the process for becoming a FINRA member firm, and the organizational structure governing its members.
• FINRA Conduct Rules: Key Standards and Obligations
  Explore the essential FINRA Conduct Rules including Rule 2010 and Rule 2111, focusing on fair dealing, ethical standards, and professional conduct in the securities industry.
• FINRA Communications with the Public: Essential Guidelines for Series 6 Exam Success
  Master the FINRA rules on communications with the public for the Series 6 Exam. Understand retail, correspondence, and institutional communication categories, content standards, and approval processes.