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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
  • SEC Rule 605
  • Targeted Examination Letters
  • Trade Reporting Frequently Asked Questions
  • Trading Activity Fee
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