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  • Rules & Guidance
      1. R&G section 1
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      2. R&G section 2
        1. The Rulemaking Process
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        2. Adjudication & Decisions
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      3. R&G section 3
        1. Enforcement
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  • Registration, Exams & CE
      1. Registration section 1
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      3. Registration section 3
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      2. For Investors section 2
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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    • National Adjudicatory Council (NAC)
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Guidance
  • Guidance
    Phone-In Workshop and WebEx Presentation Recording: Markup/Markdown Analysis Report
    May 23, 2018
  • FAQ
    About the FINRA Institute at Georgetown CRCP Program
    December 06, 2017
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    April 21, 2015
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    Week II: Capstone
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    CRCP Reporting 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

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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