Guidance

Guidance
Targeted Examination Letter on Rights of Reinstatement (RoR)
November 11, 2020
Targeted Examination Letter
Targeted Examination Letter on Mutual Fund Waivers
May 16, 2016
Notice
Regulatory Notice 08-58
October 17, 2008
Report / Study
Report of the Mutual Fund Task Force: Mutual Fund Distribution
March 29, 2005
Report / Study
Report of the Mutual Fund Task Force: Soft Dollars and Portfolio Transaction Costs
November 11, 2004
Report / Study
Report of the Omnibus Account Task Force
January 30, 2004
Guidance
Status Report: Implementation of Recommendations of Joint NASD/Industry Breakpoint Task Force
July 22, 2003
Report / Study
Report of the Joint NASD/Industry Task Force on Breakpoints
July 12, 2003
FAQ
Mutual Fund Breakpoint Assessment Q&A
Compliance Tools
Customer Letters About Breakpoint Refunds
Compliance Tools
Breakpoints Written Disclosure Document
Guidance
Common Definitions Mutual Funds Should Use to Describe Breakpoint Discount Rules
Compliance Tools
Breakpoints Checklist & Worksheet
Training
Breakpoints Training Outline
Compliance Tools
Task Force Recommendations for New Confirmation Content

2017 Exam Findings Report
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2019 Exam Findings Report
A Few Minutes With FINRA
About FINRA
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FINRA's Financial Guiding Principles
FINRA360 Progress Report
Form
From Small Firm Advisory Board (SFAB)
Get Involved
Guidance
Hide From What's New
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Manage Your Career
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Neutral Corner
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Protecting Senior Investors 2015-2020
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Targeted Examination Letter
Technical Documentation
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The Alert Investor
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Training
User Guide
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401(k)
403(b)
457
529 Prepaid Tuition Plans
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Accounts At Other Broker Dealers and Financial Institutions
Advertising Regulation
Agency Bonds
Algorithmic Trading
Alternative and Complex Products
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Arbitration and Mediation
Asset Backed Securities
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Back testing
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Best Execution
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Block Chain / Distributed Ledger Technology
Blue Sheets
Bond Funds
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Bonds
Books and Records
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Breakpoints
Broker Dealer Registration
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Broker-Dealer Recruitment Disclosures
Brokerage
BrokerCheck
Business Cards
Business Continuity Planning
Business Development Company (BDC)
Capital Acquisition Brokers
Capital Formation
Carrying Agreements
Cash Equivalents
Catastrophe Bonds
Central Registration Depository (CRD)
Certificates of Deposit (CDs)
Collateralized Mortgage Obligations (CMOs)
College Savings Plans
Commodities and Futures
Communications with the Public
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Compliance Resources
Comprehensive Automated Risk Data System (CARDS)
Conflicts of Interest
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Consolidated Reports
Continuing Education
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Continuing Membership Applications
Corporate Bonds
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Correspondence
Coverdell Education Saving Accounts (ESAs)
COVID-19 / Coronavirus
Credit for Cooperation
Custodial Accounts (UGMA and UTMA)
Customer Account Statements
Customer Account Transfers
Customer Information Protection
Customer Orders
Cybersecurity
Day Trading
Deferred Annuities
Department of Labor
Derivatives
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Digital Experience Transformation (DXT)
Direct Participation Programs (DPPs)
E-Bill
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INSITE
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Municipal Securities
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SEC’s July 2013 Financial Responsibility Rule Amendments
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TRACE BTDS
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Uniform Practice Code (UPC)
Update a Firm's Registration
Use of Negative Response Letters
Variable Annuities
Variable Life Insurance Products
VIX-Linked Products (Volatility Index)
Web CRD
Women