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  • Rules & Guidance
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      2. R&G section 2
        1. The Rulemaking Process
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        2. Adjudication & Decisions
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      3. R&G section 3
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      1. Registration section 1
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  1. Rules & Guidance
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FINRA Main Navigation

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Guidance
  • 2019 Exam Findings Report
    Best Execution
    October 16, 2019
  • Notice
    Regulatory Notice 07-39
    August 30, 2007
  • Guidance
    Additional Guidance Regarding the OATS Routing Method Code of I and Special Handling Code of ISO
    July 12, 2007
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    Regulation NMS OATS Frequently Asked Questions
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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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File a complaint about fraud or unfair practices.

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