- Municipal Bond Sales in the Secondary Market: Checklist for Customer Disclosure
- 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
* 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
- Anti-Money Laundering Template
- Business Continuity Planning Template
- Breakpoints Claim Forms and Notification Letters
- Breakpoints Sample Written Disclosure Document
- SEC Identity Theft Red Flags Rule Template
- New Account Application Template
- Small Firm Emergency Partner Program Contract Template
- Alphabetical List of Online Forms
- 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
- Report Center – provides firms with secure access to data and reports designed to support their compliance activities.
- eFOCUS Tutorials – these tutorials provide step-by-step instructions for completing a firm's FOCUS filing.
- Electronic Storage Media Tutorial – reviews how to file the electronic storage media notification and applicable representations through the Firm Gateway.
- New Form NMA and Application Process – the purpose of this tutorial is to introduce changes to the New Member Application Process.
- REX System Tutorial – this tutorial is about the new REX system that replaces FINRA's existing Reg T system to collect Regulation T and SEA Rule 15c3-3 extension of time requests.
- Report Center Online Guides – these tutorials are intended to help firms understand how to use some of FINRA's report cards.
- Supplemental Statement of Income (SSOI) – this tutorial covers the SSOI filing process.