Regulation
Guidance
FINRA regularly produces publications and notices of interest to its constituents.
- Annual Examination Priorities Letters
- Interpretive Letters
- Exemptive Letters
- Targeted Examination Letters
- Interpretations of Financial and Operational Rules
- Interpretations of FINRA's Margin Rule
- Member Alerts
- Member Updates
- Regulatory & Compliance Alerts
- Reports & Studies
- FINRA Comment Letters
- SEC Rule 605
- National Market System (NMS) Plans
- Communications to Firms
- Risk Control Assessment Survey
- Trade Reporting Frequently Asked Questions
- Portfolio Margin Frequently Asked Questions
- Regulation M Frequently Asked Questions
- Non-Traditional ETFs Frequently Asked Questions
- Trading Activity Fee