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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
    • Updates
  • Interpreting the Rules
    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
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  • The Rulemaking Process
    • Rule Filings
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Guidance
  • Guidance
    Interpretive Letter to Jason P. Ellison, Foreside Fund Services, LLC
    September 01, 2020
  • Guidance
    Interpretive letter to Joan E. Boros, Esq., Stradley Ronon Stevens & Young, LLP
    April 16, 2018
  • Interpretive Letter
    Interpretive Letter to Clair Pagnano, K&L Gates LLP
    June 12, 2017
  • Interpretive Letter
    Interpretive Letter to Edward P. Macdonald, Hartford Funds Distributors, LLC
    May 12, 2015
  • Interpretive Letter
    Interpretive Letter to Budge Collins, Collins/Bay Island Securities
    September 14, 2004
  • Interpretive Letter
    Interpretive Letter to Yukako Kawata, Davis Polk & Wardwell
    December 30, 2003
  • Interpretive Letter
    Interpretive Letter to Michael D. Udoff, Securities Industry Association
    October 02, 2003
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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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844-574-3577 (Mon-Fri 9am-5pm ET)

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