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  • Rules & Guidance
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      2. R&G section 2
        1. The Rulemaking Process
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        2. Adjudication & Decisions
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      3. R&G section 3
        1. Enforcement
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  • Registration, Exams & CE
      1. Registration section 1
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      3. Registration section 3
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      2. For Investors section 2
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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
    • 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
  • Regulatory Notice 20-37
    The National Adjudicatory Council (NAC) Revises the Sanction Guidelines
    Tuesday, October 20, 2020
  • Regulatory Notice - 11-07
    FINRA Revises the Sanction Guidelines
    Wednesday, February 09, 2011
  • Regulatory Notice 11-13
    FINRA Revises Sanction Guidelines
    Tuesday, March 22, 2011
  • Notice to Members 06-10
    NASD Revises Sanction Guidelines
    Tuesday, March 07, 2006
  • Notice to Members 05-17
    NASD Adopts New Sanction Guidelines
    Tuesday, March 01, 2005
  • Notice to Members 99-16
    SEC Approves Changes to Rules Regarding Membership and Registration; Investigation and Sanctions; and Conduct and Code of Procedure
    Monday, February 01, 1999
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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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