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      2. R&G section 2
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  1. Rules & Guidance
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EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
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    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
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  • The Rulemaking Process
    • Rule Filings
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    • Requests for Comments
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  • Enforcement
    • Disciplinary Actions Online
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 18-27
    Restructured Qualification Examinations and Related Examination Fees
    Thursday, September 06, 2018
  • Regulatory Notice 17-30
    SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
    Thursday, October 05, 2017
  • Regulatory Notice 15-20
    FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
    Wednesday, May 27, 2015
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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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844-574-3577 (Mon-Fri 9am-5pm ET)

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