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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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Guidance
  • Guidance
    Regulatory Notice 13-38
    November 01, 2013
  • Guidance
    Regulatory Notice 13-16
    April 17, 2013
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    Regulatory Notice 12-47
    October 31, 2012
  • Guidance
    Regulatory Notice 12-36
    July 18, 2012
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    Regulatory Notice 11-56
    December 13, 2011
  • FAQ
    Frequently Asked Questions about Electronic Blue Sheets (EBS)
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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

Securities Helpline for Seniors®

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

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To report on abuse or fraud in the industry

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File a complaint about fraud or unfair practices.

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