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      2. R&G section 2
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  • Registration, Exams & CE
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FINRA Main Navigation

Rules & Guidance

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  • The Rulemaking Process
    • Rule Filings
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    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 18-27
    Restructured Qualification Examinations and Related Examination Fees
    Thursday, September 06, 2018
  • Regulatory Notice 17-30
    SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
    Thursday, October 05, 2017
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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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