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  1. Rules & Guidance
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EXPLORE THIS SECTION

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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    • Requests for Comments
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  • Enforcement
    • Disciplinary Actions Online
    • Monthly Disciplinary Actions
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 17-16
    FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
    Wednesday, April 12, 2017
  • Notice to Members 06-48
    SEC Approves Amendments to NASD Rules 2210 and 2211 to Require Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material;
    Friday, September 01, 2006
  • Notice to Members 00-21
    NASD Regulation Reminds Members of Their Responsibilities When Advertising Recent Mutual Fund Performance
    Monday, April 10, 2000
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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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