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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
        1. Enforcement
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  • Registration, Exams & CE
      1. Registration section 1
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      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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  1. Rules & Guidance
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EXPLORE THIS SECTION

FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
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  • The Rulemaking Process
    • Rule Filings
    • Rule Filing Status Report
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  • Enforcement
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Guidance
  • Media Center
    The FINRA Examination Team: The Ins and Outs of FINRA’s Annual Program
    June 13, 2023
  • Media Center
    2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
    January 10, 2023
  • Report / Study
    2023 Report on FINRA’s Examination and Risk Monitoring Program
    January 10, 2023
  • Report / Study
    2022 Report on FINRA’s Examination and Risk Monitoring Program
    February 09, 2022
  • Report / Study
    2021 Report on FINRA’s Examination and Risk Monitoring Program
    February 01, 2021
  • Podcast
    Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
    September 15, 2020
  • Podcast
    Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs
    May 26, 2020
  • Podcast
    What to Expect: The 2020 Exam and Risk Monitoring Program
    January 07, 2020
  • Guidance
    2019 Report on Examination Findings and Observations
    October 16, 2019
  • Guidance
    2018 Report on FINRA Examination Findings
    December 07, 2018
  • A Few Minutes With FINRA
    A Few Minutes With FINRA: Creating a Single, Unified Examination Program
    October 10, 2018
  • Guidance
    2017 Report on FINRA Examination Findings
    December 06, 2017
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ARBITRATION & MEDIATION

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