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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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Guidance
  • FAQ
    Frequently Asked Questions About Exemption Reporting Under SEA Rule 15c3-3(k) for Purposes of FOCUS Reporting and Updating of Membership Agreements
    July 07, 2020
  • FAQ
    Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
    March 24, 2020
  • FAQ
    Frequently Asked Questions about Continuing Membership Applications
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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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