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  • Rules & Guidance
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      2. R&G section 2
        1. The Rulemaking Process
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      3. R&G section 3
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  • Registration, Exams & CE
      1. Registration section 1
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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
    • Key Topics
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  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
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    • Retrospective Rule Review
  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Guidance
  • 2017 Exam Findings Report
    Order Capacity
    December 06, 2017
  • Targeted Examination Letter
    Targeted Exam Letter on Alternative Trading Systems
    May 01, 2013
  • Targeted Examination Letter
    Targeted Examination Letter on Alternative Trading Systems
    September 01, 2012
  • Guidance
    Regulatory Notice 09-46
    August 05, 2009
  • FAQ
    Frequently Asked Questions about OTC (ATS & Non-ATS) Transparency
  • FAQ
    Trade Reporting Frequently Asked Questions
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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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