FINRA
The Financial Industry Regulatory Authority's rulebook, regulatory notices, interpretive letters, and enforcement actions - unified and queryable for the first time.
What's indexed
FINRA rulebook
Full rule series (2000-6000+) with cross-references and amendments
Regulatory notices
Guidance, rule filings, and compliance advisories
Interpretive letters
Staff interpretations and no-action positions
Enforcement actions
Disciplinary proceedings, fines, and sanctions
Rule amendments
Version history and change tracking across rulebook updates
Cross-references
Links between rules, notices, and related enforcement actions
Why it matters
FINRA's rulebook and guidance are published across multiple surfaces - the FINRA rulebook, regulatory notices, investor alerts, BrokerCheck, and enforcement actions - with no unified API. Staying current requires monitoring all of them, parsing inconsistently structured HTML, and resolving cross-references between rules, interpretive letters, and guidance manually. There is no change-feed, no webhook, and no structured diff between rulebook versions. RLVNCE unifies these sources into a single queryable index with change detection and provenance metadata.
Filters and metadata
Example queries
Search FINRA Rule 2210 (communications with the public)
search "communications with the public" filter: rule=2210Find recent enforcement actions related to suitability
search "suitability" filter: type=enforcement_action, since=2024-01-01Monitor rulebook changes for customer account rules
subscribe: rule_series=4500 events: [rule_amendment, new_notice]Freshness
FINRA sources are monitored continuously across all publication surfaces - the rulebook, regulatory notices, and enforcement actions. Change events are emitted for new rules, amendments, notices, and enforcement actions. Subscribe via webhooks or poll the change feed for cursor-based incremental sync.