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      2. R&G section 2
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  • Registration, Exams & CE
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  1. Rules & Guidance
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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
    • Sanction Guidelines
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 19-32
    FINRA Amends Rules 2210 and 2241 to Conform to the Fair Access to Investment Research Act of 2017
    Thursday, September 26, 2019
  • Regulatory Notice 16-41
    SEC Approves Amendments to Rules Governing Communications With the Public
    Wednesday, October 26, 2016
  • Regulatory Notice 15-16
    FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
    Monday, May 18, 2015
  • Regulatory Notice 12-29
    SEC Approves New Rules Governing Communications With the Public
    Thursday, June 14, 2012
  • Notice to Members 05-25
    NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements
    Wednesday, April 06, 2005
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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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