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Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
A resource where small broker-dealer firms can get help navigating FINRA’s systems and resources.Call (833) 26-FINRA (833-263-4672)
Monday – Friday
9 a.m. – 5 p.m. Eastern Time
As part of our ongoing efforts to provide support for small firms, and in response to the FINRA Special Notice on Engagement and FINRA360, FINRA developed the Small Firm Helpline to assist broker-dealers that need general help navigating FINRA’s systems and resources.
Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:
Large Options Positions Report (LOPR) – Listed
FINRA is providing Listed LOPR exceptions from FINRA’s Listed LOPR Audit Exception Report. The LOPR Listed report contains three types of exceptions for exchange-traded options: The Effective Date, LOPR Reporting Exceptions and In-Concert Exceptions.