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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

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    • Notices
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  • The Rulemaking Process
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    • National Adjudicatory Council (NAC)
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Notices
  • Regulatory Notice 21-21
    FINRA Eliminates the Order Audit Trail System (OATS) Rules
    Thursday, June 17, 2021
  • Regulatory Notice 20-41
    FINRA Amends Its Equity Trade Reporting Rules Relating to Timestamp Granularity
    Wednesday, December 02, 2020
  • Regulatory Notice 20-31
    FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
    Monday, August 31, 2020
  • Information Notice – 7/17/20
    Consolidated Audit Trail: Industry Presentation by CMRWG on CAT Compliance Rules
    Friday, July 17, 2020
  • Regulatory Notice 20-20
    FINRA Provides Updates on Regulatory Coordination Concerning CAT Reporting Compliance
    Monday, June 29, 2020

           

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ARBITRATION & MEDIATION

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