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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
    • National Adjudicatory Council (NAC)
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Notices
  • Notice to Members 07-14
    Portfolio Margin Risk Disclosure Statement and Written Acknowledgement to be Furnished to Customers Using a Portfolio Margin Account
    Monday, March 19, 2007
  • Notice to Members 02-35
    NASD Adopts Amendments Regarding the Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
    Tuesday, June 11, 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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