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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
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    • Notices
    • Guidance
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  • The Rulemaking Process
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Notices
  • Regulatory Notice 10-07
    SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
    Wednesday, January 27, 2010
  • Trade Reporting Notice - 2/8/10
    FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
    Monday, February 08, 2010
  • Regulatory Notice 09-21
    FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
    Wednesday, April 15, 2009
  • Trade Reporting Notice - 8/14/08
    Trade Reporting Frequently Asked Questions
    Thursday, August 14, 2008

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ARBITRATION & MEDIATION

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