Guidance

Board of Governors Meeting
March 2020 Board Update
March 18, 2020
Board of Governors Meeting
December 2019 Board Update
December 13, 2019
Board of Governors Meeting
September 2019 Board Update
October 03, 2019
Board of Governors Meeting
December 2018 Board Update
December 21, 2018
Guidance
2018 Report on FINRA Examination Findings
December 07, 2018
Video
May 2018 Board Update
May 17, 2018
Report / Study
FINRA360 Progress Report
April 24, 2018
About FINRA
Data and Analytics
About FINRA
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
About FINRA
Qualification Exam Restructuring
About FINRA
Examination Findings
About FINRA
Small Firm Helpline
About FINRA
Innovation Outreach Initiative
About FINRA
Changes to Engagement Through Member Relations, Education and Compliance Resources
About FINRA
Central Registration Depository (CRD) Improvements
About FINRA
Enhancements to the Securities Industry Continuing Education Program (CE Program)
About FINRA
FINRA Examination Program Improvements
About FINRA
Regulatory Operations Oversight Committee (ROOC)
About FINRA
Regulatory Policy
About FINRA
Capital Raising
About FINRA
Investor Education and Tools
About FINRA
Changes to FINRA Rulemaking Process
About FINRA
Industry Continuing Education (CE)
About FINRA
Changes to FINRA Advisory Committees
About FINRA
Small Firm Report (PR)

2017 Exam Findings Report
2018 Exam Findings Report
2019 Exam Findings Report
A Few Minutes With FINRA
About FINRA
Annual Regulatory and Examination Priorities Letters
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Financial Reports
FINRA's Financial Guiding Principles
FINRA360 Progress Report
Form
From Small Firm Advisory Board (SFAB)
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Manage Your Career
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Protecting Senior Investors 2015-2020
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The Alert Investor
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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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Annual Audit
Anti-Money Laundering
Arbitration and Mediation
Asset Backed Securities
Auction Rate Securities
Back testing
Bank Products
Best Execution
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Block Chain / Distributed Ledger Technology
Blue Sheets
Bond Funds
Bond Mutual Fund Volatility/Risk Rating
Bonds
Books and Records
Branch Offices
Breakpoints
Broker Dealer Registration
Broker Migration
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
Compensation
Compliance Resources
Comprehensive Automated Risk Data System (CARDS)
Conflicts of Interest
Consolidated Audit Trail (CAT)
Consolidated Reports
Continuing Education
Continuing Membership Applications
Continuing Membership Applications
Corporate Bonds
Corporate Financing
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
Derivatives and Other Balance Sheet Items (OBS)
Digital Experience Transformation (DXT)
Direct Participation Programs (DPPs)
E-Bill
Education
EFocus
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Equities
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Essentials Exam
Event Linked Bonds
Exam Restructuring
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Exchange Traded Funds (ETFs)
Expense Ratio
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Financial and Operational Rules, Interpretations of
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Financial Stress Test
Fingerprints
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FINRA Logo
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FINRA360
FinTech
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Fixed Annuities
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Free Writing Prospectus
Funding and Liquidity
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GASB Accounts Support Fee
Generation X
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Governmental Accounting Standards Board (GASB)
Hedge Funds
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High Yield Securities
Home Equity Funded Investments
Hyperlinks
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Information and Testimony Requests
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Innovation
INSITE
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Insurance
International and Emerging Market Bonds
Investment Analysis Tools
Investment Banking Referrals
Investment Products
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Investors
Junk Bonds
Letterhead
Life Settlements
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Market Access
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Market Regulation
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Materiality Consultation Process
Member Application Program
Mergers Acquisitions and Business Transfers
Military
Military Spouses
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Money Market Securities
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Municipal Securities
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National Adjudicatory Council (NAC)
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National Do-Not-Call Registry
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Options
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Oversight
Penny Stocks
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Regulation M Filings
Regulation NMS
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Renewal Program
Reporting
Reprints
Research Analyst Rules
Research Disclosures
Research Reports
Retirement Savings Plans
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Reverse Convertible Notes (RCN)
Risk Management
Rule 4530 Reporting Requirements
Sales Practices
Sanction Guidelines
Savings Accounts
Securities Investor Protection Corporation - SIPC
Security Futures
SEC’s July 2013 Financial Responsibility Rule Amendments
Senior Designations
Senior Investors
Shareholder Reports
Short Interest Reporting
Short Selling
Social Media
Statutory Disqualification
Stocks
Structured Products
Subordination Agreements
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Supplemental Statement of Income (SSOI)
Technology
Teens
Telemarketing
Television and Video
Templates
Tenants-in-Common Interests
Third Party Research
Thrift savings plan (TSP)
Tick Size Pilot Program
TRACE BTDS
Trade Reporting and Compliance Engine (TRACE)
Trade Reporting Facility (TRF)
Trading Activity Fee
Treasury Bills
Treasury Bonds
Treasury Inflation Protected Securities (TIPS)
Treasury Notes
U.S. Treasury Securities
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)
Women