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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
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  • Registration, Exams & CE
      1. Registration 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
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    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
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  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
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  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
    • Sanction Guidelines
    • Individuals Barred by FINRA
  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 22-01
    Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
    Monday, January 03, 2022
  • Regulatory Notice 21-01
    Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
    Monday, January 04, 2021
  • Regulatory Notice 20-39
    Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2021
    Friday, October 30, 2020
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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

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File a complaint about fraud or unfair practices.

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