Guidance | FINRA.org

Guidance

Rule Filing
Section III: Potential Benefits and Risks
Rule Filing
Section IV: Regulatory Considerations
Rule Filing
Endnotes
Guidance
Annual Reports Extension of Time Request Policy
Compliance Tools
FINRA Rule 5190 Filing Report Card
Compliance Tools
CAT - TRF/ORF Trade Data Consistency Report Card
FAQ
FINRA Rule 4522(b)(1) and Certain Capital Balance Funds
Guidance
FINRA’s Approach to Member Firm Risk Assessments
Compliance Tools
TRACE Markup/Markdown Indicators
Compliance Tools
MSRB Markup/Markdown Indicators
Events & Training
Reg M – Rule 5190 Filings Report Card (Duration: 24 Minutes)
Events & Training
Membership Application Program (MAP) Updates (Duration: 20 Minutes)
Events & Training
Cyber Threats & Effective Practices With FBI and Industry Experts (Duration: 40 minutes)
Guidance
Interpretations of Rule 4210 (valid through June 3, 2026)
Guidance
Interpretations of Rule 4210 (valid from June 4, 2026)
Events & Training
Regulation Best Interest and Form CRS in Practice
Events & Training
Vigilance in Action: Protecting Senior Investors
FAQ
Frequently Asked Questions Regarding Qualification Exam Waiting Periods
Guidance
Interpretations of Rule 4240
Guidance
Exchange Codes and Requestor Codes for Electronic Blue Sheets (EBS)
Training
Week I: Foundation
Training
Week II: Capstone
Training
FINRA Crypto Applied Learning Program at Georgetown University
Guidance
eAnalytics Validation Process

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