Guidance
FINRA regularly produces publications and notices of interest to its constituents.
- Annual Risk Monitoring and Examination Priorities Letters
- BrokerCheck Link Requirements in Rule 2210
- Communications to Firms
- Exemptive Letters
- FINRA Comment Letters
- FINRA Qualification and Registration Requirements Frequently Asked Questions
- Fixed Income Confirmation Disclosure Frequently Asked Questions
- Information and Testimony Requests
- Interpretations of Financial and Operational Rules
- Interpretations of FINRA’s Margin Rule
- Interpretive Letters
- National Market System (NMS) Plans
- Non-Traditional ETFs Frequently Asked Questions
- OATS to CAT FAQ Mapping Exercise
- Overview of the Materiality Consultation Process for Continuing Membership Applications
- Regulation M Frequently Asked Questions
- Regulatory & Compliance Alerts
- Reports & Studies
- Resource Page for the SEC’s July 2013 Financial Responsibility Rule Amendments
- Responses to Frequently Asked Questions Concerning New FINRA Rule 3210
- Responses To Frequently Asked Questions Regarding Covered Agency Transactions Under FINRA Rule 4210
- Risk Control Assessment Survey
- Targeted Examination Letters
- Trade Reporting Frequently Asked Questions
- Trading Activity Fee