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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
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    • Notices
    • Guidance
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  • The Rulemaking Process
    • Rule Filings
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    • National Adjudicatory Council (NAC)
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Notices
  • Information Notice 2/1/22
    FINRA Announces Rule 4111 (Restricted Firm Obligations) Evaluation Date
    Tuesday, February 01, 2022
  • Regulatory Notice 21-34
    FINRA Adopts Rules to Address Firms With a Significant History of Misconduct
    Tuesday, September 28, 2021
  • Regulatory Notice 18-17
    FINRA Revises the Sanction Guidelines
    Wednesday, May 02, 2018
  • Regulatory Notice 18-16
    FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
    Monday, April 30, 2018
  • Regulatory Notice 18-15
    Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
    Monday, April 30, 2018
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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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File a complaint about fraud or unfair practices.

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