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FINRA Main Navigation

Rules & Guidance

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Notices
  • Election Notice – 11/15/2023
    Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat
    Wednesday, November 15, 2023
  • Election Notice - 9/25/2023
    FINRA Announces Process to Fill Upcoming Vacancies on the National Adjudicatory Council
    Monday, September 25, 2023
  • Regulatory Notice 17-13
    FINRA’s NAC Revises the Sanction Guidelines
    Monday, April 10, 2017
  • Regulatory Notice 16-27
    FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
    Thursday, August 04, 2016
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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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File a complaint about fraud or unfair practices.

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