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  • Rules & Guidance
      1. R&G section 1
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      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
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        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
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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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        1. Qualification Exams
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      3. Registration section 3
        1. Registration Systems
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      1. For Investors section 1
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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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    • Guidance
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  • The Rulemaking Process
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Guidance
  • Events & Training
    The Small Firm Conference Call
    May 26, 2021
  • Podcast
    COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis
    June 09, 2020
  • Virtual Conference Panel
    How to Protect Yourself and Your Firm From Cyberattacks When Working From Home During COVID-19
    May 19, 2020
  • Podcast
    Market Structure & COVID-19: Handling Increased Volatility and Volumes
    April 28, 2020
  • Podcast
    Business in the Time of COVID-19: BCPs, Regulatory Relief & More
    March 31, 2020
  • Guidance
    SEC Guidance and Resources Relevant to Member Firms
    March 27, 2020
  • Guidance
    Termination of SEC Temporary Exemptive Relief from Fingerprinting Requirements for, Among Others, Members and All of Their Associated Persons; Termination of Additional Temporary Extension of Time for Fingerprinting Under FINRA Rules
    March 24, 2020
  • FAQ
    Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
    March 24, 2020
  • Guidance
    Coronavirus Impact on FINRA-Administered Exams
    March 23, 2020
  • Guidance
    Regulatory Operations Update
    March 23, 2020
  • Guidance
    Regulatory Notice 09-59
    October 12, 2009
  • Guidance
    Active Military Leave Guidance
  • FAQ
    Business Continuity Planning FAQ
  • Compliance Tools
    Small Firm Business Continuity Plan Template
  • Guidance
    Temporary Amendments to FINRA Rules
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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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File a complaint about fraud or unfair practices.

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