Interpreting the Rules
To accompany FINRA’s comprehensive rules and regulations, 1 we provide investment professionals with the tools they need to interpret them.
Our Notices alert industry professionals about timely information on various regulatory issues.
We offer guidance for interpreting rules via webinars, FAQs, letters and more.
Our collection of Frequently Asked Questions provides interpretive guidance and procedural information on a variety of regulatory topics.
Browse by key topic to find relevant rules, notices, guidance and news.
Should you find that an interpretive inquiry extends beyond the scope of our online materials, contact our Office of General Counsel.
1 The current FINRA rulebook consists of: (1) FINRA Rules; (2) NASD Rules; and (3) Incorporated NYSE Rules.