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  • Rules & Guidance
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
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    • Notices
    • Guidance
    • Frequently Asked Questions
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  • The Rulemaking Process
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    • National Adjudicatory Council (NAC)
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Notices
  • Notice to Members 00-46
    NASD Announces Interpretation of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
    Monday, July 10, 2000
  • Notice to Members 00-27
    Deadline Extended for Series 55 Equity Trader Examination to October 1, 2000
    Monday, May 01, 2000
  • Notice to Members FYI December 2002
    For Your Information
    Monday, December 09, 2002
  • Notice to Members FYI March 2003
    For Your Information
    Friday, March 07, 2003
  • Notice to Members 03-37
    New Series 23 Examination
    Tuesday, July 01, 2003

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ARBITRATION & MEDIATION

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

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