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FINRA Main Navigation

Rules & Guidance

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  • The Rulemaking Process
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Notices
  • Information Notice – 11/11/19
    2020 and First Quarter of 2021 Report Filing Due Dates
    Thursday, November 07, 2019
  • Regulatory Notice 12-11
    SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
    Tuesday, February 28, 2012
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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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