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      2. R&G section 2
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  1. Rules & Guidance
  2. Guidance
EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
    • Interpretive Questions
  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
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  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Guidance
  • Interpretive Letter
    Interpretive Letter to Craig P. Hoffman, Esq., APM, American Retirement Association, Chris DeGrassi, National Tax-deferred Savings Association, and Richard K. Matta, Esq., Groom Law Group
    March 22, 2016
  • Interpretive Letter
    Interpretive Letter to Therese Squillacote, ING Financial Advisers, LLC
    November 29, 2004
  • Interpretive Letter
    Interpretive Letter to Dawn Bond, FSC Securities Corporation
    July 30, 1998
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ARBITRATION & MEDIATION

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

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