FINRA Guide for Registered Representatives
The Registered Representatives Brochure is a reference for current and previously registered representatives. The brochure outlines the registration process, a representatives responsibilities to their firm and customers, best practices for interacting with FINRA, and how to terminate registration with FINRA. In addition, the brochure contains information on how current and previously registered representatives can access their record and work with their firm (or regulators) to keep it up to date.
Download the Registered Representatives Brochure (PDF 203 KB)
- Industry Issues—View compliance resources by topic, including guidance on communications with the public and working with senior investors.
- Annual Regulatory and Examination Priorities Letter—To help firms and representatives maintain awareness of regulatory issues that may affect their business FINRA publishes the letter which highlights issues of importance to FINRA's regulatory programs.
- Education—FINRA offers several training and education opportunities including e-learning courses for registered representatives.
- The Investors portion of our website has a lot of helpful material that registered representatives can provide to potential or current customers, including Tools and Calculators.
If you have feedback about additional items that should be included in this brochure or would like to suggest improvements to the brochure, please send an email to Member Relations.