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| FINRA Rules | Notices | Rule Filings | Member Alerts | Publications & Guidance | Issue Center | Compliance Tools |
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Compliance Tools |
To support strong compliance programs, we have created a host of online resources to help firms manage and meet regulatory responsibilities.
Coordinator Program – dedicates a single FINRA point-of-contact to provide prompt, accurate answers to firms' regulatory questions, including those regarding FINRA Rules, filing deadlines and compliance resources.
FINRA Online Manual – a principle regulatory reference, including rule updates and approved but not-yet-effective rules.
Report Center – accessible through the Firm Gateway, this application provides firms with secure access to data and reports designed to support their compliance activities.
Checklists
Templates and Forms
Interactive Tools
Breakpoint Interest Refund Calculator – a tool that firms can use to determine the appropriate refund due to investors.
Mutual Fund Breakpoint Search Tool – allows users to easily research detailed mutual fund sales charge and pricing information, including the availability of breakpoint discounts.
OFAC Search Tool – provides searchable access to the U.S. Treasury Office's Specially Designated Nationals and Blocked Persons (SDN) list.
Equifax PERSONA PLUS™ Employment Screening Reports – a convenient way to investigate the background of prospective employees, which can lead to more informed hiring decisions.
Tutorials
Electronic Storage Media Tutorial – reviews how to file the electronic storage media notification and applicable representations through the Firm Gateway.
Communications to Firms
Email Subscription Service – delivers specific information about various topics, such as AML, compliance training and more.
FINRA Notices – provide detailed information on important regulatory topics, including rule-making, the election nomination process, trade reporting matters and general information on issues such as holiday schedules and other administrative notifications.
Podcasts – short audio recordings provide a quick, easy way to stay on top of important regulatory information, news and other topics.
Improving Examination Results – an annual publication that gives notice of FINRA's routine examination priorities, including information on how to avoid common compliance pitfalls.
Annual Examination Priorities Letters – highlight key examination priorities for the current year.
Targeted Examination Letters – summarize the information requested in certain sweep letters to help inform firms' compliance programs.
Quarterly Disciplinary Review – provides a summary of recent disciplinary actions involving misconduct by registered representatives.
Protection Against Business Disruptions
BCP Repository Service – a secure, off-site electronic facility for storing, accessing and sharing BCPs.
Small Firm Emergency Partner Program – a voluntary initiative that allows two firms and their common clearing firm to create a partnership so that they can rely on each other in the event of a significant business disruption.
Compliance Education and Training
Conferences and Events – hear the most up-to-date compliance information directly from industry and regulatory experts at conferences, as well as online and phone-in workshops.
Preventive Compliance Programs – hear from staff at your FINRA District Office on compliance issues, examination priorities and common examination findings.
Classroom Learning – learn securities laws and regulations and examine best practices for current legal and regulatory requirements.
Online Learning – learn about a range of training topics for compliance personnel, registered representatives, administrative and operations staff, and those with supervisory responsibilities.
Additional Resources
Small Firms Section - dedicated information for small firms.
Issue Center - a central place to access information on the most current compliance topics.
Guide to the Internet for Registered Reps - a page outlining registered representatives' (RRs) compliance requirements and potential liabilities when using the Internet and electronic communications.
Frequently Asked Questions - a convenient way for firms to receive more clarification on rules and to better understand compliance requirements.
Please tell us about additional resources you'd like to see posted on our site by contacting us. Your feedback and participation will help FINRA develop tools and services that foster investor protection and market integrity.
Note: FINRA tools are offered as a service to securities firms. Use of the tools does not guarantee compliance with regulatory requirements nor create a safe harbor from regulatory responsibility.
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