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For updates and guidance related to COVID-19 / Coronavirus, click here.

Guidance

We offer guidance to firms in the form of podcasts, webinars, FAQs, reports, and more. Use the toggle below to find guidance by topic, type or date. 

A B C D E F G I L M N O P Q R S T V
Guidance
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
April 08, 2020
Guidance

In response to the COVID-19 pandemic, a growing number of states and localities have issued workplace restrictions as part of their efforts to prevent the spread of the disease.  These “shelter-in-place” or “stay-at-home” orders vary in scope and duration, but generally require businesses not considered “essential” to close their physical offices and continue their operations remotely.

April 03, 2020
Podcast
The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. On this episode, we talk to FINRA’s Chief Legal Officer and Head of Member Supervision to learn how FINRA is adapting its operations and providing important regulatory relief.
March 31, 2020
Events & Training
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts.
March 30, 2020
FAQ

Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. FINRA will continue to monitor the situation to determine whether additional guidance and relief may be appropriate. As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided.

March 24, 2020
Guidance

On March 20, 2020, the Securities and Exchange Commission (the Commission) issued an order that, among other things, provides a temporary exemption until May 30, 2020 from the fingerprinting requirements of Securities Exchange Act Rule 17f-2 for FINRA members and their employees. As a condition of the relief, the Order requires written notification to the Commission by May 30, 2020, that a person will rely on the exemption. FINRA has provided that notification on behalf of all of its members and their employees.

March 24, 2020
Guidance
FINRA remains fully operational during the COVID-19 outbreak through the support of our robust remote work capabilities, and we continue to carry out our regulatory responsibilities of protecting investors and market integrity in these challenging times.
March 23, 2020
Webinar

FINRA is hosting a series of webinars to discuss ongoing developments to our technology products that may affect firm workflows. Join us for an upcoming webinar about the benefits of the Financial Professional Gateway (FinPro), a platform of growing compliance tools for your firm's associated individuals.

March 19, 2020
Video
Updates from the March 2020 FINRA Board of Governors meeting.
March 18, 2020
Get Involved
This week, the FINRA Board of Governors will hold its first meeting of 2020.
March 10, 2020
Webinar

Register to Attend a Webinar About the New FINRA Gateway

Register to attend an upcoming webinar which will introduce FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to hone in on your needs.

March 10, 2020
Guidance

February 2020

Trading & Financial Compliance Examinations (“TFCE”) of the Market Regulation Department (“Market Regulation”) at the Financial Industry Regulatory Authority, Inc. (“FINRA”) is conducting a review of [FIRM] concerning the Firm’s decision not to charge commissions for customer transactions, the impact that not charging commissions has or will have on the Firm’s order routing practices and decisions, and other aspects of the Firm’s business. 

February 20, 2020
Video
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
December 13, 2019
Get Involved
This week, FINRA’s Board of Governors will convene in New York for our final meeting of 2019.
December 02, 2019
FAQ
Frequently Asked Questions (FAQ) regarding the purpose of FINRA Rule 3230 and “do-not-call-lists”
November 27, 2019
FAQ

Is there a rule that addresses prohibited conditions relating to expungement of customer dispute information?

Yes, FINRA Rule 2081 provides that no member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer’s agreement to consent to, or not to oppose, the member’s or associated person’s request to expunge customer dispute information from the CRD system. 

Does FINRA Rule 2081 apply only to settlements?

November 22, 2019
Podcast
Soon brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of Regulation Best Interest. What is the new standard? What will firms need to do to comply? Tune in to learn more from FINRA’s Chief Legal Officer.
October 15, 2019
Video
FINRA CEO Robert Cook and members of the FINRA Board of Governors provide updates from the September 2019 FINRA Board of Governors meeting.
October 03, 2019
Report / Study
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FINRA regulates a critical part of the securities industry – brokerage firms doing business with the public in the United

October 02, 2019
Get Involved
Following a productive series of strategy sessions in July, the FINRA Board of Governors will reconvene this week in New York for meetings that follow a more traditional agenda.
September 23, 2019
Guidance
What does it take to receive credit for extraordinary cooperation when it comes to FINRA Enforcement actions? What does extraordinary even mean in that context? On this episode, we dig into updated guidance on this topic with FINRA’s head of Enforcement.
August 06, 2019
Get Involved
The FINRA Board of Governors meets this week in Washington, DC. Read President and CEO Robert Cook’s email to firms previewing the agenda.
July 16, 2019
Guidance
Filing Guidance - Public Offering Review
July 16, 2019
Guidance
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
July 16, 2019