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  • Rules & Guidance
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      2. R&G section 2
        1. The Rulemaking Process
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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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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
    • Interpretive Questions
  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
    • Rulebook Consolidation
    • Retrospective Rule Review
  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
    • Sanction Guidelines
    • Individuals Barred by FINRA
  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
    • Office of Hearing Officers (OHO)

Notices
  • Regulatory Notice 12-17
    SEC Approves Consolidated Telemarketing Rule
    Monday, April 02, 2012
  • Notice to Members 05-17
    NASD Adopts New Sanction Guidelines
    Tuesday, March 01, 2005
  • Notice to Members 97-01
    Approval of Telemarketing Amendments
    Wednesday, January 01, 1997
  • Notice to Members 04-15
    SEC Approves Amendments to NASD Rules Concerning Member Participation in the National Do-Not-Call Registry
    Tuesday, March 02, 2004
  • Notice to Members 03-38
    SEC Approves Amendments to NASD Rules Governing Member Communications with the Public
    Monday, July 07, 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

301-590-6500

Securities Helpline for Seniors®

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

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To report on abuse or fraud in the industry

File an Investor Complaint

File a complaint about fraud or unfair practices.

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833-26-FINRA (Mon-Fri 9am-6pm ET)

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Report a concern about FINRA at 888-700-0028

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