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      2. R&G section 2
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  • Registration, Exams & CE
      1. Registration section 1
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  1. Rules & Guidance
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EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
    • Interpretive Questions
  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
    • Requests for Comments
    • Rulebook Consolidation
    • Retrospective Rule Review
  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
    • Sanction Guidelines
    • Individuals Barred by FINRA
  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
    • Office of Hearing Officers (OHO)

Notices
  • Notice to Members 06-05
    SEC Approves Permanent Rules Concerning Bond Mutual Fund Volatility Ratings
    Friday, January 20, 2006
  • Notice to Members 01-58
    Rules Relating to Bond Mutual Fund Volatility Ratings Extended Two Years
    Monday, September 10, 2001
  • Notice to Members 00-23
    SEC Approves New Rules Relating to Bond Mutual Fund Volatility Ratings
    Monday, April 10, 2000
  • Notice to Members 03-48
    SEC Approves Extension of Pilot Relating to Bond Mutual Fund Volatility Ratings
    Thursday, August 28, 2003
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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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