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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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  1. Rules & Guidance
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EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
    • Interpretive Questions
  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
    • Rulebook Consolidation
    • Retrospective Rule Review
  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
    • Sanction Guidelines
    • Individuals Barred by FINRA
  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Guidance
  • Interpretive Letter
    Interpretive Letter to Amy Natterson Kroll, Bingham McCutchen LLP
    February 08, 2013
  • Notice
    Regulatory Notice 11-41
    September 12, 2011
  • Notice
    Notice to Members 05-17
    March 01, 2005
  • Interpretive Letter
    Interpretive Letter to Mark W. Riepe, Charles Schwab & Co., Inc.
    August 20, 2004
  • FAQ
    Research Rules Frequently Asked Questions (FAQ)
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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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