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  • Rules & Guidance
      1. R&G section 1
        1. FINRA Manual
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        2. Interpreting the Rules
          1. Notices
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      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
          2. Rule Filing Status Report
          3. Requests for Comments
          4. Rulebook Consolidation
        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
          2. Office of Hearing Officers (OHO)
      3. R&G section 3
        1. Enforcement
          1. Disciplinary Actions Online
          2. Monthly Disciplinary Actions
          3. Sanction Guidelines
          4. Individuals Barred by FINRA
  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
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      2. Registration section 2
        1. Qualification Exams
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        2. Continuing Education (CE)
      3. Registration section 3
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  • For Investors
      1. For Investors section 1
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      2. For Investors section 2
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      3. For Investors section 3
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          3. Dispute Resolution
          4. SIPC Protection
          5. Avenues for Recovery of Losses
  1. Rules & Guidance
  2. Guidance
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Rules & Guidance

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    • National Adjudicatory Council (NAC)
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Guidance
  • Events & Training
    The Small Firm Conference Call
    May 26, 2021
  • Guidance
    Coronavirus Impact on OHO Hearings
    September 28, 2020
  • Podcast
    COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis
    June 09, 2020
  • Virtual Conference Panel
    How to Protect Yourself and Your Firm From Cyberattacks When Working From Home During COVID-19
    May 19, 2020
  • Podcast
    Market Structure & COVID-19: Handling Increased Volatility and Volumes
    April 28, 2020
  • Podcast
    Business in the Time of COVID-19: BCPs, Regulatory Relief & More
    March 31, 2020
  • Guidance
    SEC Guidance and Resources Relevant to Member Firms
    March 27, 2020
  • Guidance
    SEC Provides Temporary Exemptive Relief from Fingerprinting Requirements for, Among Others, Members and All of Their Associated Persons; FINRA Provides Additional Temporary Extension of Time for Submission of Fingerprint Information for Registered Persons
    March 24, 2020
  • FAQ
    Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
    March 24, 2020
  • Guidance
    Coronavirus Impact on FINRA-Administered Exams
    March 23, 2020
  • Guidance
    Regulatory Operations Update
    March 23, 2020
  • Guidance
    Regulatory Notice 09-59
    October 12, 2009
  • Guidance
    Active Military Leave Guidance
  • FAQ
    Business Continuity Planning FAQ
  • Compliance Tools
    Small Firm Business Continuity Plan Template
  • Guidance
    Temporary Amendments to FINRA Rules

           

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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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