Guidance Report / Study2021 Report on FINRA’s Examination and Risk Monitoring ProgramFebruary 01, 2021 2019 Exam Findings ReportDigital CommunicationOctober 16, 2019 GuidanceRegulatory Notice 14-12March 24, 2014 GuidanceRegulatory Notice 14-06February 07, 2014 NoticeRegulatory Notice 11-39August 18, 2011 NoticeRegulatory Notice 10-06January 25, 2010 GuidanceRegulatory Notice 08-56October 15, 2008 GuidanceComparison of the AML Customer Identification Rule and the SEC’s Books & Records Customer Account Records RuleSeptember 01, 2003 GuidanceBooks and Records Requirements ChecklistMay 02, 2003 FAQFrequently Asked Questions about the Amendments to Broker/Dealer Books and Records Rules Under the Securities Exchange Act of 1934May 02, 2003 Interpretive LetterInterpretive Letter to Forrest R. Foss, T. Rowe Price Associates, Inc.January 28, 2002