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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Guidance
Federal Reserve Depository Institution Reporting to TRACE

Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).

Project Timetable*

Launch

September 1, 2022

Firm Pre-launch User Testing (NTF region)

June 27, 2022

February 15, 2022
Guidance
Cybersecurity Alert - February 15, 2022

The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program would like to bring an important cyber-related development to your attention.  The Cybersecurity & Infrastructure Security Agency (CISA) and the FBI issued a “Shields Up” warning this week regarding potential Russian cyberattacks to target U.S. organizations related to Russia’s potential destabilizing actions against Ukraine. CISA advised that while there are not currently any specific credible threats to the U.S., they recommend  that all organizations, namely U.S.

February 15, 2022
Report / Study
2022 Report on FINRA’s Examination and Risk Monitoring Program

Introduction

The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs.

February 09, 2022
Media Center
From NCFC to Member Supervision Head: Reintroducing Greg Ruppert
Greg Ruppert joined FINRA in 2020 to form and lead the National Cause and Financial Crimes Detection Programs. Now, he’s been tapped to lead Member Supervision, the team responsible for the surveillance and examination of FINRA member firms and for detecting and deterring activities that can cause investor harm. On this episode, we talk to Greg about how he views this transition in leadership and his goals and areas of focus in his new role.
February 08, 2022
Media Center
Deep Learning: The Future of the Market Manipulation Surveillance Program
The majority of FINRA’s market manipulation surveillance patterns now use deep learning to detect misconduct in what is perhaps in what is perhaps the largest application of artificial intelligence in the RegTech space. On this episode, we hear how this is making FINRA’s market surveillance data more digestible and increasing the efficiency and flexibility of the program.
January 25, 2022
Media Center
What to Expect: The CE Transformation & Maintaining Qualifications Program
In 2020, FINRA and the CE Council embarked on the biggest transformation of the continuing education program in 25 years. And in the months ahead, those major changes are going into effect. On this episode, we learn what firms and reps can expect and why these changes will have such a big impact.
January 11, 2022
Arbitration and Mediation
The Neutral Corner - Volume 4—2021
The Neutral Corner—Volume 4, 2021
December 30, 2021
Podcast
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
This episode originally aired in April 2021.The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the then-head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.
December 14, 2021
Webinar
Webinars

FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.

Upcoming Webinars

Attend the June 28 FINRA Disclosure: Regulatory Actions Webinar

December 03, 2021
Arbitration and Mediation
Neutral Workshop Audio and Video Files
Fall 2021 Neutral Workshop: Getting Back to In-Person Hearings and More
December 01, 2021
Media Center
The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transparency
Transparency plays a central role in promoting the fairness and efficiency of U.S. markets, lowering transaction costs, leveling the playing field and enhancing public trust in our markets. And the data market transparency provides serves as the lifeblood of FINRA's surveillance program. On this episode, we hear about FINRA's historical commitment to market transparency and how it has impacted FINRA's regulatory regime.
November 30, 2021
Podcast
2021 Small Firm Conference: A Fireside Chat with Robert Cook and Greg Ruppert
The small firm community, those firms with 150 or fewer registered financial professionals, came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we're taking you behind the scenes of this year's event with an abridged look at the fireside chat with FINRA CEO Robert Cook and Executive Vice President Greg Ruppert.
November 16, 2021
Podcast
FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
For service members, a missed credit card payment might do more than just ding their credit report, it could also jeopardize a hard-fought promotion. And for their spouses, move after move might be more than just a logistical hardship, it might also be the biggest hurdle in their own career growth. The FINRA Foundation Military Spouse Fellowship Program is just one program that is aiming to address both challenges.
November 02, 2021
Podcast
Encore | Overlapping Risks: Anti-Money Laundering and Cybersecurity
This episode originally aired in October 2020. Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode we look at the overlapping risks of AML and cybersecurity.
October 19, 2021
Guidance
Special Purpose Acquisition Companies (“SPACs”)
FINRA is examining firms’ offering of, and services provided to, Special Purpose Acquisition Companies (“SPACs”) and their affiliates (e.g., sponsors, principal stockholders, board members, and related parties).  Unless otherwise noted, the relevant period for each request is July 1, 2018, through September 30, 2021 (the “Relevant Period”).  In addition, if your response varies over the Relevant Period, please explain the differences in your response. 
October 07, 2021
Podcast
2021 Ketchum Prize: Expanding Financial Capability in Native Communities
Shawn Spruce’s advocacy work earned him the 2021 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, we talk to Spruce about his teaching and outreach as a tireless champion of investor education and expanded financial capability in Native communities.
October 05, 2021
Podcast
Single Points of Accountability: Navigating Firms’ Experiences with FINRA
As part of FINRA’s Member Supervision Transformation, each firm was assigned a Single Point of Accountability – a senior leader in Member Supervision that helps firms navigate their experience with FINRA. On this episode, we are joined by two SPOAs to learn more about their roles and priorities.
September 21, 2021
Guidance
Social Media Influencers, Customer Acquisition, and Related Information Protection
FINRA is conducting a review of firm practices related to the acquisition of customers through social media channels and how firms manage their obligations related to information collected from those customers and other individuals that may provide data to firms. Please note that each item requested is specific to the subsection header.
September 16, 2021
Podcast
Make Your Voice Heard: FINRA's Regional Committees
As a Self-Regulatory Organization, FINRA benefits from the expertise and industry knowledge of member firms to react more quickly to emerging challenges and write more effective and efficient regulations. FINRA’s Regional Committees play an important role in this process, supplying FINRA with real-time insights that help us fulfill our mission of investor protection and market integrity. On this episode, we learn more.
September 07, 2021
Podcast
The Journey to the Cloud: Implications for the Securities Industry
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. On this episode, two members of FINRA’s Office of Financial Innovation join us to discuss the group’s latest report on cloud computing.
August 24, 2021
Report / Study
Cloud Computing in the Securities Industry

Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure.

August 16, 2021
Guidance
FINRA Targeted Examination Letter on Option Account Opening, Supervision and Related Areas

August 2021

FINRA is conducting a review of Firm Name practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence. 

August 10, 2021
Podcast
Introducing Stephanie Dumont
In March, Stephanie Dumont became the new Executive Vice President of FINRA’s Market Regulation and Transparency Services department. On this episode, we sit down with Stephanie to hear her priorities, her vision for the department, and how FINRA is responding to recent market events.
July 13, 2021
Compliance Tools
Cybersecurity Checklist

Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:

July 12, 2021
Podcast
FINRA’s Financial Intelligence Unit: Connecting the Dots
Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization’s senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down to learn about FINRA’s new Financial Intelligence Unit, and how it is looking to transform how FINRA takes in, analyzes, and shares data.
June 29, 2021