Availability of the FINRA Manual
Chapters in this video
- 0:00 The manual-availability rule and the printing press panic
- 2:45 Electronic access: why a link to finra.org satisfies the rule
- 3:35 The static PDF fail and the current-copy requirement
- 4:32 How the rule fits the larger disclosure framework
- 5:36 Manual availability versus BrokerCheck disclosure
- 6:12 The fake lawsuit trap: no private rights of action
- 7:00 Rapid-fire exam recap
What this video covers
- Why electronic access, such as a hyperlink to finra.org, fully satisfies the manual-availability rule without printing or mailing
- What the static PDF fail is, and why a 2018 saved file violates the current-copy requirement even though a link exists
- How the Financial Industry Regulatory Authority (FINRA) manual differs from BrokerCheck, and why giving a customer the rulebook is not the same as disclosing an individual rep's background
- Why a violation of the manual-availability rule is a FINRA regulatory violation, not a basis for a customer's private civil lawsuit
- Where the manual-availability rule sits alongside the Business Continuity Plan (BCP) summary, Form CRS, account statements, and BrokerCheck disclosure within the firm's larger customer-transparency framework
- How to spot exam scenarios that bait you into selecting answers requiring physical printing, mailing, or hosting the manual on the firm's own servers
Read the full lesson, free
This video's complete written lesson is free to read in the CertFuel app, no signup wall. The complete Series 24 course also includes adaptive practice questions and spaced-repetition flashcards, free through the end of 2026.