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  1. Rules & Guidance
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EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

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    • Notices
    • Guidance
    • Frequently Asked Questions
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  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
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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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Guidance
  • 2018 Exam Findings Report
    Suitability for Retail Customers
    December 07, 2018
  • 2017 Exam Findings Report
    Product Suitability
    December 06, 2017
  • Notice
    Regulatory Notice 10-05
    January 21, 2010
  • Report / Study
    Joint SEC/NASD Report on Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products
    June 09, 2004
  • Interpretive Letter
    Interpretive Letter to Marilyn J. Sponzo, Jorden Burt
    February 03, 2003
  • Guidance
    Variable Annuities

           

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ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
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