Guidance

Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Spring 1995
March 31, 1995
Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Winter 1995
January 01, 1995
Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Fall 1994
October 01, 1994
Interpretive Letter
Interpretive Letter to Name Not Public
September 27, 1994
Interpretive Letter
Interpretive Letter to Name Not Public
September 15, 1994
Interpretive Letter
Interpretive Letter to Name Not Public
August 05, 1994
Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Spring 1994
June 01, 1994
Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Winter 1994
March 01, 1994
Interpretive Letter
Interpretive Letter to Name Not Public
May 18, 1993
Interpretive Letter
Interpretive Letter to Name Not Public
February 24, 1993
Interpretive Letter
Interpretive Letter to Name Not Public
November 13, 1990
Interpretive Letter
Interpretive Letter to Name Not Public
December 22, 1988
About FINRA
Data and Analytics
FAQ
Regulation NMS Plan to Address Extraordinary Market Volatility Plan Frequently Asked Questions (FAQ)
FAQ
Frequently Asked Questions About CRD Queues
Compliance Tools
ATS Cross Manipulation Summary Report
Compliance Tools
Market Order Timeliness Statistical Report
Compliance Tools
Large Options Positions Report (LOPR) – Over-the-Counter
Guidance
Margin Statistics
Guidance
SEC Identity Theft Red Flags Rule
About FINRA
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
FAQ
Research Rules Frequently Asked Questions (FAQ)
FAQ
E-Bill Frequently Asked Questions (FAQ)
FAQ
The Important Role Customers Play in Assisting FINRA in Investigations
Compliance Tools
Web CRD® Late Filing Fee Report