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Financial and Operational Rules · 5000. Securities Offering and Trading Standards and Practices · 6000. Quotation, Order, and Transaction Reporting Section 15A of the Securities Exchange Act of 1934 and FINRA Rule 8310 provide that FINRA may enforce compliance with its rules by: limitation or modification From May 2016 through 2021, Wefunder violated federal securities laws and regulations and FINRA rules applicable to funding portals in multiple ways. Across 39 The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA's unique rules and guidelines, as well as our The court ordered the party to produce the documents in a reasonably usable format. In that case, if the producing party had produced PDF files withFINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and The FINRA Manual contains complete information about the guidelines that affect how firms conduct business, including the By-Laws, Conduct Rules,