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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
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    • Notices
    • Guidance
    • Frequently Asked Questions
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  • The Rulemaking Process
    • Rule Filings
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  • Enforcement
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  • Adjudication & Decisions
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Notices
  • Regulatory Notice 07-58
    FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
    Monday, November 26, 2007
  • Regulatory Notice 07-60
    FINRA Announces Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits around the December 2007 Month-End Holidays
    Tuesday, December 11, 2007

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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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