Guidance
We offer guidance to firms in the form of podcasts, webinars, FAQs, reports, and more. Use the toggle below to find guidance by topic, type or date.
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Arbitration and Mediation
The Neutral Corner – Volume 3—2026
Mission Statement
Starting the Conversation Early: FINRA’s New Voluntary Meet and Confer Program by Stefanie Kendall, former Associate Director, FINRA Case Administration
Late Recusal Reminder
FINRA Launches DR Portal Mobile App for Counsel and Pro Se Parties
FINRA Dispute Resolution Services (DRS) and FINRA News
September 30, 2026
Media Center
On this episode of FINRA Unscripted, learn why FINRA replaced the decades-old Pattern Day Trader rule — including the $25,000 minimum equity requirement — with a modern, risk-based intraday margin standard, and what the change means for investors and member firms.
September 01, 2026
Guidance
Member firms should be aware of a significant security threat that can result in unauthorized access to member firm data stored in Microsoft Dynamics 365 (D365) environments via misconfigured Microsoft Power Pages portals. A threat actor group known as ExfilSquad is conducting an ongoing data extortion campaign targeting organizations across multiple sectors, including financial services firms.
August 25, 2026
Guidance
A set of 12 cybersecurity principles and effective practices informed by member firms’ regulatory obligations, industry risk principles and practices FINRA has observed through member firm oversight.
August 10, 2026
Media Center
On this episode of FINRA Unscripted, learn what has happened since the launch of FINRA's Financial Intelligence Fusion Center: how it works, early successes, and how information sharing between FINRA and member firms is transforming the fight against cyber and fraud threats.
August 04, 2026
Media Center
On this episode of FINRA Unscripted, learn about the many ways members can engage with FINRA—from advisory committees to CEO roundtables—and how that interaction directly shapes rulemaking and drives internal improvements.
July 07, 2026
Guidance
FINRA firms should be aware of a security vulnerability that poses potentially severe risks to organizations using NGINX products.
July 02, 2026
Arbitration and Mediation
The Neutral Corner – Volume 2—2026
Mission Statement
Keep Your Availability Current: Streamlining the Arbitrator Selection Process for Everyone
June 30, 2026
Guidance
Member firms should be aware of a significant security breach affecting Klue, a business sales intelligence platform, that has resulted in unauthorized access to customer data stored in integrated third-party platforms, including Salesforce, HubSpot, Gong, and other CRM systems.
June 26, 2026
Media Center
On this episode of FINRA Unscripted, FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discuss the organization's strategic priorities, FINRA Forward initiatives, and the future of the self-regulatory model. Learn how FINRA's leadership is working to adapt regulation for a changing industry while maintaining investor protection and market integrity.
June 02, 2026
Report / Study
In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of our work.
June 01, 2026
Guidance
FINRA firms should be aware of a security incident that poses potential risks to organizations using GitHub cloud repository products. FINRA recommends sharing this Cyber Alert with appropriate information technology and information security personnel—as well as any third-party vendors that may use GitHub—to identify whether your firm is impacted and take immediate steps to protect your environments.
May 22, 2026
Guidance
FINRA is conducting a review of firm practices related to supervision of concentrations in non-principal protected “worst-of” structured notes, a higher risk structured product.
May 19, 2026
Media Center
On this episode of FINRA Unscripted, find out how FINRA is enhancing firm examinations through streamlined first firm exams, extended cycles for lower-risk firms, targeted data requests, and advance exam notices. Learn how these changes improve efficiency while maintaining robust investor protection and market oversight.
May 05, 2026
Media Center
On this episode of FINRA Unscripted, we go behind the scenes of the market infrastructure most investors never see—from 4 a.m. trading windows to 23/5 operations and fractional shares—and learn why accurate trade reporting and transparency matter for everyone.
April 07, 2026
Arbitration and Mediation
The Neutral Corner – Volume 1—2026
Mission Statement
New Rules to Accelerate Cases When Time Matters Most By Hannah Yoo, Senior Principal Analyst, FINRA Case Administration and Staff Training
FINRA Launches DR Portal Mobile App for Arbitrators
Keep Your Camera on During Virtual Hearings
FINRA Dispute Resolution Services (DRS) and FINRA News
March 31, 2026
Guidance
Member firms should be aware of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA employees. The goal of the threat actor is to trick the recipient into replying and participating in a Microsoft Teams call.
March 26, 2026
Guidance
FINRA firms should be aware that the threat actor group ShinyHunters has been actively exploiting misconfigured Salesforce Experience Cloud instances to bypass authentication requirements and access sensitive customer data, which they are leveraging to defraud customers.
March 19, 2026
Guidance
Member firms should be aware of heightened cybersecurity risks to their environments amid ongoing geopolitical tensions in the Middle East. Although, as of March 16, 2026, FINRA is not aware of any significant Iran-related cyberattacks against the financial services industry, it is aware of recent reporting indicating that Iranian threat actors are actively targeting U.S. financial institutions and critical infrastructure sectors.
March 16, 2026
Guidance
This resource provides foundational information on GenAI, firm-size considerations related to prompt injection, and definitions of key terms.
March 06, 2026
Media Center
On this episode of FINRA Unscripted, discover how data drives securities oversight at every level, from firm examinations to suspicious trading detection. FINRA leaders discuss evolving approaches to data requests, using technology and collaboration to work smarter, reduce regulatory burden, and strengthen investor protection.
March 03, 2026
Media Center
Financial security means more than wealth: it's about resilience and preparation. On this episode of FINRA Unscripted, FINRA’s Gerri Walsh discusses what financial security looks like in 2026, shares insights from recent investor research, and explains how firms can help protect and empower their customers.
February 03, 2026
Guidance
FINRA firms should be aware of multiple critical vulnerabilities in Gladinet’s CentreStack or TrioFox file sharing and collaboration software applications, which threat actors are actively exploiting to gain unauthorized access and remote control of organizational systems.
January 29, 2026
Guidance
Member firms should be aware of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA employees, with the goal of tricking the recipient into opening an attachment—potentially exposing the firm to malware or stealing login information. These emails are not from FINRA, and firms should delete them and consider blocking the fraudulent domains from which they are being sent.
January 23, 2026
Guidance
Cybersecurity Alert: Two Exim Mail Vulnerabilities Could Allow Unauthorized System and Data Access
January 07, 2026