Rules Navigator

Use the drop down filters below to zero-in on specific rules or combinations of rules. Click on a rule to access its landing page including a plain English description, key links and relevant GRIP articles.

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CCPA 2018
California California AG Office Data Protection
CFTC Rule 1.31
United States CFTC Recordkeeping
CFTC Rule 1.35
United States CFTC Recordkeeping
CFTC Rule 12.31
United States CFTC Discovery
CFTC Rule 12.35
United States CFTC Discovery
CFTC Rule 165.3
United States CFTC Whistleblowing
CFTC Rule 180.1
United States CFTC Market Abuse
CFTC Rule 180.2
United States CFTC Market Abuse
CFTC Rule 23.201
United States CFTC Recordkeeping
CFTC Rule 23.202
United States CFTC Recordkeeping
CFTC Rule 23.203
United States CFTC Recordkeeping
CFTC Rule 23.603
United States CFTC Business Continuity
CFTC Rule 4.41
United States CFTC Fraud
CFTC Rule 42.2
United States CFTC AML
CFTC Rule 45.2
United States CFTC Recordkeeping
CIRO MFD Rule 2.5.1
Canada MFDA General Requirements
CIRO MFD Rule 2.5.3
Canada CIRO Compliance Personnel
CIRO MFD Rule 200
Canada CIRO Supervision
CIRO MFD Rule 5.1
Canada CIRO Recordkeeping
CIRO MFD Rule 5.2
Canada CIRO Recordkeeping
CIRO MFD Rule 5.5
Canada CIRO Recordkeeping
CIRO MFD Rule 5.6
Canada CIRO Recordkeeping
CIRO MFDA Notice MSN-0056
Canada CIRO Business Continuity
Resilience
CIRO Rule 4700 Part A
Canada CIRO Business Continuity
EU AIFMD
European Union ESMA General Requirements
EU BRRD
European Union ESMA Recovery and resolution
EU CSRD
European Union ESMA Sustainability
EU DORA
European Union ESMA Resilience
EU DORA Del Reg - CTPP designation criteria
European Union ESMA Resilience
EU DORA Del Reg - CTPP oversight fees
European Union ESMA Resilience
EU DORA RTS - ICT risk management framework
European Union ESMA Resilience
EU DORA RTS - ICT-related incident classification
European Union ESMA Resilience
EU DORA RTS - Third party contractual arrangements
Rule Collection
European Union ESMA Resilience
EU GDPR
Rule Collection
European Union EDPB Data Protection
EU MiFID II Art 16
European Union ESMA General Requirements
EU MiFID II Org Reg Art 21
European Union ESMA General Requirements
EU MIFID II Org Reg Art 22
European Union ESMA General Requirements
EU MiFID II Org Reg Art 30
European Union ESMA General Requirements
EU REMIT
European Union ACER Market Abuse
EU SFDR
European Union ESMA Sustainability
EU SFDR RTS - Disclosure content and presentation
European Union ESMA Sustainability
FCA COBS 11.8
United Kingdom FCA Recordkeeping
FCA MAR
Rule Collection
United Kingdom FCA Market Abuse
FCA PRIN 2.1
United Kingdom FCA General Requirements
FCA SMCR
United Kingdom FCA Accountability
FCA SUP 12.9
United Kingdom FCA Recordkeeping
FCA SUP 15.10
United Kingdom FCA Market Abuse
FCA SYSC 10A
United Kingdom FCA Recordkeeping
FCA SYSC 15A.2
United Kingdom FCA Resilience
FCA SYSC 28.4
United Kingdom FCA Recordkeeping
FCA SYSC 3.1
United Kingdom FCA Market Abuse
FCA SYSC 3.2
United Kingdom FCA Market Abuse
FCA SYSC 6.1
United Kingdom FCA General Requirements
FCA SYSC 9.1
United Kingdom FCA Recordkeeping
FINRA Rule 2210
Rule Collection
United States FINRA Recordkeeping
FINRA Rule 2270
United States FINRA Risk Management
FINRA Rule 3110
Rule Collection
United States FINRA Supervision
FINRA Rule 3120
United States FINRA Supervision
FINRA Rule 3130
United States FINRA General Requirements
FINRA Rule 3170
United States FINRA Recordkeeping
FINRA Rule 3310
United States FINRA AML
FINRA Rule 4370
United States FINRA Business Continuity
FINRA Rule 4511
United States FINRA Recordkeeping
FINRA Rule 4513
United States FINRA Recordkeeping
FINRA Rule 4514
United States FINRA Recordkeeping
FINRA Rule 4530
United States FINRA General Requirements
FINRA Rule 8210
United States FINRA Recordkeeping
FMIA Article 142
Switzerland FINMA Market Abuse
FMIA Article 143
Switzerland FINMA Market Abuse
FMIA Article 38
Switzerland FINMA Recordkeeping
FRCP Rule 26
United States US DOJ Discovery
FRCP Rule 34
United States US DOJ Discovery
FTCA 1914 Section 12
United States FTC Consumer Protection
FTCA 1914 Section 5
United States FTC Consumer Protection
IIROC Rule 38 (to Dec 2022)
Canada IIROC Supervision
NYDFS Rule 500
New York NYDFS Cybersecurity
PCAOB AS 1005
United States PCAOB General Requirements
PCAOB AS 1015
United States PCAOB General Requirements
PCAOB AS 1215
United States PCAOB Recordkeeping
SEBI (Stock Brokers) Reg 1992
Rule Collection
India SEBI General Requirements
SEC Beneficial Ownership Rule
United States SEC Beneficial Ownership Disclosure
SEC Reg BI
United States SEC Consumer Protection
SEC Rule 10b-5
United States SEC Fraud
SEC Rule 13a-15
United States SEC Controls and Procedures
SEC Rule 17a-1
United States SEC Recordkeeping
SEC Rule 17a-3
United States SEC Recordkeeping
SEC Rule 17a-4
Rule Collection
United States SEC Recordkeeping
SEC Rule 17a-7
United States SEC Recordkeeping
SEC Rule 204-2
United States SEC Recordkeeping
SEC Rule 206(4)-7
United States SEC General Requirements
SEC Rule 240.21F-2
United States SEC Whistleblowing
Swiss CO Article 958f
Switzerland FINMA Recordkeeping
UK DPA 2018
United Kingdom ICO Data Protection
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