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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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  • The Rulemaking Process
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    • National Adjudicatory Council (NAC)
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Guidance
  • Media Center
    From NCFC to Enforcement Head: Reintroducing Bill St. Louis
    February 06, 2024
  • Media Center
    Behind the Process: How an Enforcement Action Becomes an Enforcement Action
    February 23, 2021
  • Podcast
    Excessive Trading: When A Lot Becomes Too Much
    September 29, 2020
  • Virtual Conference Panel
    Enforcement Initiatives, Developments and Priorities
    June 24, 2020
  • Podcast
    Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors
    June 23, 2020
  • Podcast
    FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad
    May 12, 2020
  • Guidance
    Credit For Cooperation: Recognizing Extraordinary Efforts
    August 06, 2019
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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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