Guidance

Compliance Tools
Options Report Cards
April 11, 2018
Targeted Examination Letter
Targeted Examination Letter on VIX-Linked Product Review
April 09, 2018
Guidance
TRACE Price on Client Confirmations Policy
April 03, 2018
Report / Study
Discussion Paper – FINRA Perspectives on Customer Recovery
February 18, 2018
Get Involved
Small Firm Advisory Board Email: 2017 Year in Review
January 25, 2018
Guidance
Protecting Personal Information in Registration Form Filings
January 11, 2018
Annual Regulatory and Examination Priorities Letters
2018 Regulatory and Examination Priorities Letter
January 08, 2018
Guidance
Interpretive Letter to Lawrence Cohen, Gordon Rees Scully Mansukhani, LLP
December 11, 2017
2017 Exam Findings Report
Outside Business Activities and Private Securities Transactions
December 06, 2017
2017 Exam Findings Report
Net Capital and Credit Risk Assessments
December 06, 2017
2017 Exam Findings Report
TRACE Reporting
December 06, 2017
Guidance
Highlighted Observations
December 06, 2017
2017 Exam Findings Report
2017 Report on FINRA Examination Findings
December 06, 2017
2017 Exam Findings Report
Anti-Money Laundering (AML) Compliance Program
December 06, 2017
2017 Exam Findings Report
Market Access Controls
December 06, 2017
2017 Exam Findings Report
Order Capacity
December 06, 2017
2017 Exam Findings Report
Cybersecurity
December 06, 2017
2017 Exam Findings Report
Product Suitability
December 06, 2017
FAQ
About the FINRA Institute at Georgetown CRCP Program
December 06, 2017
Guidance
Summary of Additional Observations
December 05, 2017
Guidance
Best Execution
December 01, 2017
Guidance
Alternative Investments Held in Individual Retirement Accounts (IRAs)
December 01, 2017
Guidance
Regulation SHO
December 01, 2017
Guidance
Regulatory Notice 17-40
November 21, 2017
Targeted Examination Letter
Targeted Examination Letter on Order Routing Conflicts
November 10, 2017