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
Board of Governors Meeting
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)