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  • Registration, Exams & CE
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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    • Notices
    • Guidance
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  • The Rulemaking Process
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 11-52
    FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
    Friday, November 11, 2011
  • Regulatory Notice 07-43
    FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
    Monday, September 10, 2007
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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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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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