Guidance

Guidance
SEA Rule 17a-5 and Related Interpretations
Events & Training
2025 FINRA Annual Conference: Strengthening Compliance of Regulation Best Interest and Form CRS
Video
FINRA Investor Education Foundation Releases Latest National Financial Capability Study (NFCS)
FAQ
Portfolio Margin FAQ
About FINRA
Small Firm Report (PR)
Compliance Tools
Canceled and As-Of Trades Report
Guidance
Market Access
FAQ
Membership Application Program Group (MAP) Frequently Asked Questions
FAQ
OATS Clock Synchronization FAQ
FAQ
Frequently Asked Questions about the Test Enrollment Services System (TESS)™
About FINRA
Annual Industry Snapshot
Compliance Tools
TRACE Quality of Markets Report Cards - Corporate Bond and Agency Debt
Guidance
Net Capital
Compliance Tools
Guidance for Alternative Trading Systems
Guidance
SEC Rule 605
FAQ
OATS OTC FAQ
FAQ
FINRA Rule 4530 – CRD Form U4 Frequently Asked Questions (FAQ)
Compliance Tools
Public Offering Late Filings Report
Compliance Tools
TRACE Markup/Markdown Analysis Report
Guidance
Segregation of Assets and Customer Protection
Compliance Tools
New Account Application Template
About FINRA
Changes to FINRA Enforcement Structure
FAQ
TRACE Structured Product Reports FAQ
FAQ
Frequently Asked Questions About Firm Form Filing in CRD
Compliance Tools
ATS Cross Manipulation Summary Report