Guidance

FAQ
Frequently Asked Questions Related to Filing Requirements of Rules 5122 and 5123
Guidance
Recommendations Concerning Advertising and Promotion of Commission Discounts
Compliance Tools
Online Learning Report Cards
About FINRA
Industry Continuing Education (CE)
Compliance Tools
Municipal Primary Offering Disclosure Report
Technical Documentation
CRD Small Firms Information
FAQ
Sanction Guidelines - FAQ
Guidance
What to Expect: Anti-Money Laundering Reviews During Routine Examinations
Compliance Tools
Trade Reporting and Compliance Engine (TRACE) Report Cards
About FINRA
Changes to FINRA Advisory Committees
FAQ
Non-Traditional ETFs FAQ
About FINRA
Central Registration Depository (CRD) Improvements
Compliance Tools
MSRB Due Diligence Report Card
Guidance
Market Integrity
FAQ
Renewal Program FAQ
Events & Training
2025 FINRA Annual Conference: Strengthening Compliance of Regulation Best Interest and Form CRS
Training
Week II: Capstone
FAQ
Frequently Asked Questions about Continuing Membership Applications
FAQ
OATS for all NMS Stocks FAQ
FAQ
SEC Regulation M-Related Notice Requirements Under FINRA Rules Frequently Asked Questions
About FINRA
Enhancements to the Securities Industry Continuing Education Program (CE Program)
Compliance Tools
Registered Representative Composition Report
Guidance
Large Trader Reporting
Compliance Tools
Guidance for Governing Documents and Attestations to Evidence Ownership
Guidance
eAnalytics Validation Process