Guidance

About FINRA
Investor Education and Tools
FAQ
Frequently Asked Questions about Electronic Blue Sheets (EBS)
FAQ
Motion to Dismiss and Eligibility Rules FAQ
2019 Exam Findings Report
Short Sales
Compliance Tools
Contra Reporting Firm 20 Minute Compliance Report Card
2021 Report on FINRAs Examination and Risk Monitoring Program
Cybersecurity and Technology Governance
Guidance
Common Definitions Mutual Funds Should Use to Describe Breakpoint Discount Rules
Compliance Tools
Equity Report Cards
About FINRA
Changes to FINRA Rulemaking Process
FAQ
eFOCUS Frequently Asked Questions
Training
FINRA Institute at Georgetown - Registration & Cancellation Policy
2019 Exam Findings Report
Segregation of Client Assets
Compliance Tools
Reg NMS Trade Through Report Card
Guidance
Regulatory Events Reporting
Technical Documentation
CRD Small Firms Information
Guidance
Residential Supervisory Locations (RSL) Eligibility Requirements and Conditions Checklist
Guidance
Recommendations Concerning Advertising and Promotion of Commission Discounts
Compliance Tools
Corporate Financing Report Cards
About FINRA
Industry Continuing Education (CE)
FAQ
FINRA Qualification and Registration Requirements Frequently Asked Questions
Compliance Tools
MSRB G-32 Report Card
Guidance
Reg BI and Form CRS
FAQ
Renewal Program FAQ
Guidance
Covered Agency Transactions Multifamily Programs
Training
Week I: Foundation