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  • Rules & Guidance
      1. R&G section 1
        1. FINRA Manual
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      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
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          4. Rulebook Consolidation
        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
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      3. R&G section 3
        1. Enforcement
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  • Registration, Exams & CE
      1. Registration section 1
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      3. Registration section 3
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      1. For Investors section 1
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      2. For Investors section 2
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      3. For Investors section 3
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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  • The Rulemaking Process
    • Rule Filings
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    • Requests for Comments
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Guidance
  • Interpretive Letter
    Interpretive Letter to Name Not Public
    November 27, 1995
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ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
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General Inquiries

301-590-6500

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844-574-3577 (Mon-Fri 9am-5pm ET)

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To report on abuse or fraud in the industry

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File a complaint about fraud or unfair practices.

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