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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
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  • The Rulemaking Process
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    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 23-20
    FINRA Highlights Available Guidance and Resources Related to Regulation Best Interest
    Tuesday, December 05, 2023
  • Regulatory Notice 23-08
    FINRA Reminds Members of Their Obligations When Selling Private Placements
    Tuesday, May 09, 2023
  • Regulatory Notice 20-17
    FINRA Revises Rule 4530 Problem Codes for Reporting Customer Complaints and for Filing Documents Online
    Wednesday, June 10, 2020
  • Regulatory Notice 20-18
    FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
    Friday, June 19, 2020
  • Regulatory Notice 19-26
    Regulation Best Interest
    Wednesday, August 07, 2019
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ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
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General Inquiries

301-590-6500

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844-574-3577 (Mon-Fri 9am-5pm ET)

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