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Interpreting the Rules

To accompany FINRA’s comprehensive rules and regulations,1 we provide investment professionals with the tools they need to interpret them.

Notices

Our Notices alert industry professionals about timely information on various regulatory issues.

Guidance

We offer guidance for interpreting rules via webinars, FAQs, letters and more.

Frequently Asked Questions

Our collection of Frequently Asked Questions provides interpretive guidance and procedural information on a variety of regulatory topics.

Key Topics

Browse by key topic to find relevant rules, notices, guidance and news.

Interpretive Questions

Should you find that an interpretive inquiry extends beyond the scope of our online materials, contact our Office of General Counsel.

 


1The current FINRA rulebook consists of: (1) FINRA Rules; (2) NASD Rules; and (3) Incorporated NYSE Rules.