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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
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  • Enforcement
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 18-11
    FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
    Wednesday, March 28, 2018
  • Notice to Members 05-51
    Member Obligations with Respect to Volume-Weighted Average Price Transactions
    Thursday, August 11, 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

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