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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
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  • The Rulemaking Process
    • Rule Filings
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    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 15-02
    SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
    Monday, January 05, 2015
  • Regulatory Notice 13-18
    FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
    Thursday, May 02, 2013
  • Regulatory Notice 12-14
    FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
    Wednesday, March 07, 2012
  • Regulatory Notice 11-44
    FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
    Thursday, September 29, 2011
  • Regulatory Notice 09-09
    Customer Account Statements and Due Diligence Requirements for Unlisted Real Estate Investment Trusts (REITs) and Direct Participation Programs (DPPs)
    Wednesday, February 04, 2009
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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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