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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
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
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  • The Rulemaking Process
    • Rule Filings
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  • Enforcement
    • Disciplinary Actions Online
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 21-07
    FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
    Thursday, March 04, 2021
  • Notice to Members 98-98
    SEC Approves Rule Change Relating to Mutual Fund Breakpoint Sales
    Tuesday, December 01, 1998
  • Notice to Members 03-47
    Refunds to Customers Who Did Not Receive Appropriate Breakpoint Discounts in Connection with the Purchase of Class A Shares of Front-End Load Mutual Funds and the Capital Treatment of Refund Liability
    Monday, August 25, 2003
  • Notice to Members 04-26
    NASD Reminds Members of Their Duty to Ensure Proper Application of Discounts in Sales Charges to Sales of Unit Investment Trusts (UITs)
    Tuesday, March 30, 2004
  • Notice to Members 02-85
    NASD Requires Immediate Member Firm Action Regarding Mutual Fund Purchases and Breakpoint Schedules
    Monday, December 23, 2002
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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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