Guidance

Board of Governors Meeting
September 2024 Board Meeting Update
September 27, 2024
Board of Governors Meeting
September 2024 Board Meeting
September 17, 2024
Board of Governors Meeting
July 2023 Board Update
July 19, 2023
Board of Governors Meeting
May 2023 Board Update
May 25, 2023
Board of Governors Meeting
March 2023 Board Meeting
March 15, 2023
2018 Exam Findings Report
2018 Report on FINRA Examination Findings
December 07, 2018
Report / Study
FINRA360 Progress Report
April 24, 2018
About FINRA
Engagement
About FINRA
Changes to FINRA Advisory Committees
About FINRA
Changes to Engagement with Member Firms: Compliance Tools and Resources
About FINRA
FINRA Governance and Transparency
About FINRA
Interim Report on Use of Fine Monies
About FINRA
Additional Small Firm Initiatives
About FINRA
Changes to FINRA Enforcement Structure
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)