Guidance

2018 Exam Findings Report
Market Access Controls
December 07, 2018
2018 Exam Findings Report
Fixed Income Mark-Up Disclosure
December 07, 2018
2018 Exam Findings Report
Operations Professional Registration
December 07, 2018
2018 Exam Findings Report
2018 Report on FINRA Examination Findings
December 07, 2018
2018 Exam Findings Report
Suitability for Retail Customers
December 07, 2018
Podcast
Insider Trading: Finding the Needle in the Haystack
December 04, 2018
Report / Study
2018 Report on Selected Cybersecurity Practices
December 01, 2018
Guidance
Summary of Additional Observation
November 14, 2018
Guidance
Name Not Public
November 06, 2018
Exemptive Letter
Mr. Patrick Basilice, Chief Compliance Officer, Euronext Synapse LLC
October 01, 2018
Podcast
The New SIE Exam: Opening Doors to the Securities Industry
September 25, 2018
Guidance
New and Pending Member Firms: Filing Communications with the Advertising Regulation Department
September 17, 2018
FAQ
Frequently Asked Questions (FAQ) about the Trade Reporting and Compliance Engine (TRACE)
September 14, 2018
Guidance
Technology Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry
September 10, 2018
FAQ
SIE Exam and Exam Restructuring Frequently Asked Questions (FAQ)
August 15, 2018
Report / Study
2018 FINRA Industry Snapshot
August 09, 2018
Compliance Tools
FINRA Small Firm Helpline
July 30, 2018
Compliance Tools
Anti-Money Laundering (AML) Template for Small Firms
July 18, 2018
Guidance
Phone-In Workshop and WebEx Presentation Recording: Markup/Markdown Analysis Report
May 23, 2018
Podcast
FINRA’s Senior Helpline: Addressing the Unique Needs of Senior Investors
May 01, 2018
Report / Study
FINRA360 Progress Report
April 24, 2018
Rule Filing
Three-year Anniversary of FINRA Securities Helpline for Seniors Marked by Investor Success
April 20, 2018
Guidance
Regulatory Notice 18-12
April 17, 2018
Guidance
Amy Natterson Kroll, Morgan, Lewis & Bockius LLP
April 16, 2018
Guidance
Interpretive letter to Joan E. Boros, Esq., Stradley Ronon Stevens & Young, LLP
April 16, 2018