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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
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    • Notices
    • Guidance
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  • The Rulemaking Process
    • Rule Filings
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  • Enforcement
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    • National Adjudicatory Council (NAC)
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Notices
  • Special Notice – 2/1/18
    2018 Involvement and Election Process Overview
    Thursday, February 01, 2018
  • Regulatory Notice 17-38
    FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
    Monday, November 13, 2017
  • Regulatory Notice 17-20
    FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
    Monday, May 15, 2017
  • Regulatory Notice 17-14
    FINRA Requests Comment on FINRA Rules Impacting Capital Formation
    Wednesday, April 12, 2017
  • Special Notice – 3/21/17
    FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
    Tuesday, March 21, 2017
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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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File a complaint about fraud or unfair practices.

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