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      2. R&G section 2
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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Guidance
  • 2019 Exam Findings Report
    Best Execution
    October 16, 2019
  • Notice
    Regulatory Notice 07-39
    August 30, 2007
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    Additional Guidance Regarding the OATS Routing Method Code of I and Special Handling Code of ISO
    July 12, 2007
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ARBITRATION & MEDIATION

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

301-590-6500

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844-574-3577 (Mon-Fri 9am-5pm ET)

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To report on abuse or fraud in the industry

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File a complaint about fraud or unfair practices.

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