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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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Guidance
  • Notice
    Regulatory Notice 12-03
    January 17, 2012
  • Guidance
    Regulatory Notice 10-09
    February 12, 2010
  • Notice
    Regulatory Notice 09-73
    December 17, 2009
  • Notice
    Notice to Members 05-59
    September 12, 2005
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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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