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  • Rules & Guidance
      1. R&G section 1
        1. FINRA Manual
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        2. Interpreting the Rules
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          2. Guidance
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          5. Interpretive Questions
      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
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          3. Requests for Comments
          4. Rulebook Consolidation
        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
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      3. R&G section 3
        1. Enforcement
          1. Disciplinary Actions Online
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  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
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      2. Registration section 2
        1. Qualification Exams
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      3. Registration section 3
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      1. For Investors section 1
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      2. For Investors section 2
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      3. For Investors section 3
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  1. Rules & Guidance
  2. Guidance
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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
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    • 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 Name Not Public
    November 26, 2001
  • Interpretive Letter
    Interpretive Letter to Lena M. Stinson, Stanford Group Company
    June 04, 2001
  • Interpretive Letter
    Interpretive Letter to Franklin I. Ogele, Esq., Singer Zamansky LLP
    March 16, 1998
  • Interpretive Letter
    Interpretive Letter to Laura Moret, American Express Financial Corporation
    November 26, 1997
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    Supervision 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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