For Industry Professionals
For Industry Professionals
Access the information, training and other resources you need to comply with FINRA rules and regulations.
Oversight
Rules and Guidance
Registration and Qualification
Regulatory Filing and Reporting
Education and Training

For Small Firms

2014 Small Firm Conference Recordings
Small Firm Advisory Board
More for Small Firms

Industry Issues

Advertising Regulation
Anti-Money Laundering
Consolidated Audit Trail
Funding Portals
Funding and Liquidity
Private Placements
See All Industry Issues

For Investors
For Investors
Learn how to invest, build your financial knowledge and protect your investments from fraud.
Prepare to Invest
Products & Professionals
Protect Your Money
Have a Problem?
Tools and Calculators

Investor Alerts

See All Investor Alerts

Tools & Calculators

FINRA Securities Helpline for Seniors
Fund Analyzer
Required Minimum Distribution Calculator
Risk Meter
Market Data
See all Tools & Calculators

What's New

More of What's New

Follow FINRA

Keep track of FINRA events, news, job postings, technology, and investor education via Facebook, Twitter, and LinkedIn.

Follow FINRA on Social Media

Arbitration & Mediation

FINRA handles more than 99 percent of the securities-related arbitrations and mediations in the U.S. through its network of more than 70 hearing locations, including at least one in all 50 states, Puerto Rico and London.

FINRA's Dispute Resolution division maintains a roster of more than 6,400 arbitrators and nearly 250 mediators around the country

More About Arbitration & Mediation