Tools

Checklists

• 529 College Savings Plan MSRB Rule Compliance
• Books and Records Recordkeeping Requirements Checklist
• Breakpoints Checklist and Worksheet
• Comparison of the AML Customer Identification Rule and the SEC’s Books & Records Customer Account Records Rule
• Checklist for Organizational Change: Important Steps Related to the Merger, Acquisition, and Succession Process
• Written Supervisory Procedures Checklist* (DOC 1485 KB)
• Anti-Money Laundering Template
  

 

* FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) replaces NASD Rule 3013 and the corresponding provisions in Incorporated NYSE Rule 342.30 and related NYSE Rule Interpretations (effective December 15, 2008). See Regulatory Notice 08-57 and SR-FINRA-2008-30 for additional information.)

 

Templates & Forms

• Business Continuity Planning Template
• BCP Disclosure Statement
• Breakpoints Claim Forms and Notification Letters
• Breakpoints Sample Written Disclosure Document
• FTC FACT Act Red Flags Rule Template
• New Account Application Template
• Small Firm Emergency Partner Program Contract Template
• Alphabetical List of Online Forms
  

 

Interactive Tools

• Breakpoints Interest Refund Calculator – a tool that firms can use to determine the appropriate refund due to investors.
• OFAC Search Tool – provides searchable access to the U.S. Treasury Office's Specially Designated Nationals and Blocked Persons (SDN) list.
• File an Industry Tip

 

Tutorials

• REG T System Tutorial – this tutorial highlights the new and/or expanded data field requirements in the combined system that has integrated legacy NYSE Regulation and NASD extension of time processing systems.
• New Form NMA and Application Process – the purpose of this tutorial is to introduce changes to the New Member Application Process.
• Electronic Storage Media Tutorial – reviews how to file the electronic storage media notification and applicable representations through the Firm Gateway.
• AREF Tutorial – this tutorial reviews how to submit filings for advertising or sales literature via the Advertising Regulation Electronic Filing System.
• Report Center Online Guides – these tutorials are intended to help firms understand how to use some of FINRA's report cards.