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  • Rules & Guidance
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  1. Rules & Guidance
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FINRA Main Navigation

Rules & Guidance

  • FINRA Manual
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    • Notices
    • Guidance
    • Frequently Asked Questions
    • Key Topics
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  • The Rulemaking Process
    • Rule Filings
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    • Monthly Disciplinary Actions
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  • Adjudication & Decisions
    • National Adjudicatory Council (NAC)
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Approved Rule Changes Pending Determination of Effective Date
SR-FINRA-2022-024
  • 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
  • 12100. Definitions
  • 12203. Denial of FINRA Forum
  • 12307. Deficient Claims
  • 12604. Evidence
  • 12800. Simplified Arbitration
  • 12805. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System
  • 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
  • 13100. Definitions
  • 13203. Denial of FINRA Forum
  • 13214. Payment of Arbitrators
  • 13307. Deficient Claims
  • 13600. Required Hearings
  • 13604. Evidence
  • 13805. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System
  • 13806. Panel to Decide Requests for Expungement of Customer Dispute Information Filed by an Associated Person under Rule 13805
  • 13807. Promissory Note Proceedings
SR-FINRA-2021-010
  • 4210. Margin Requirements
SR-FINRA-2019-008
  • 2232. Customer Confirmations
  • 6710. Definitions
  • 6760. Obligation To Provide Notice
SR-FINRA-2010-056
  • 1113. Restriction Pertaining to New Member Applications
  • 9521. Purpose and Definitions
  • 9522. Initiation of Eligibility Proceeding; Member Regulation Consideration
  • 9523. Acceptance of Member Regulation Recommendations and Supervisory Plans by Consent Pursuant to SEA Rule 19h-1

           

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