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Rules & Guidance
FINRA’s rules and guidance strive to protect investors and ensure the integrity of today’s rapidly evolving market.

FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers. We involve a number of interested parties in rulemaking deliberations so that broker-dealers and investors can have confidence they are collaborating on a level playing field. Our relationship to these participants, as well as the SEC, puts us in the unique position to guard the integrity of the market

FINRA Rulebook

As the market changes, so do FINRA’s rules. Explore our latest regulatory updates—as well as longtime policies—in our rulebook.


The FINRA Rulebook Search Tool™ (FIRST™) is an enhanced search feature that can help users identify potentially relevant FINRA rules and their associated requirements