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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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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
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    • Notices
    • Guidance
    • Frequently Asked Questions
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  • The Rulemaking Process
    • Rule Filings
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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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Notices
  • Regulatory Notice 17-14
    FINRA Requests Comment on FINRA Rules Impacting Capital Formation
    Wednesday, April 12, 2017
  • Regulatory Notice 16-07
    SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
    Friday, January 29, 2016
  • Regulatory Notice 16-06
    SEC Approval of FINRA Funding Portal Rules and Related Forms
    Friday, January 29, 2016
  • Regulatory Notice 13-34
    FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
    Wednesday, October 23, 2013
  • Regulatory Notice 12-34
    FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
    Thursday, July 05, 2012
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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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