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For updates and guidance related to COVID-19 / Coronavirus, click here.

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. 

4 5 A B C D E F G H I L M N O P Q R S T U V
Virtual Conference Panel
COVID-19 has altered the world as we know it. While some have responded to it as an incident or singular event, in the world of countering criminal threats we are seeing the need to treat it as a sustained campaign. This panel will discuss the multitude of threats across the financial crimes’ spectrum perpetrated by an aggressive yet flexible adversary.
June 09, 2020
About FINRA

FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.

June 04, 2020
FAQ
Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
May 20, 2020
Virtual Conference Panel
Join FINRA staff and industry panelists as they provide examples of effective controls and tools their firms have put into place to monitor and address cybersecurity risks.
May 19, 2020
Events & Training
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts.
May 13, 2020
Virtual Conference Panel
Attend this session to hear from OCIE, FINRA staff and industry experts as they discuss how they intend to examine and inspect for compliance with Reg BI, including a discussion of implementation challenges, frequently asked questions, and issues that are being considered.
May 12, 2020
Virtual Conference Panel
Join panelists as they discuss Regulation Best Interest and Form CRS, its impact on the industry and effective practices to help broker-dealers manage their obligations.
May 06, 2020
Report / Study

Seniors make up an increasingly large share of the American population1 and hold higher levels of wealth than other generations. These factors, among others, make seniors an attractive target for financial exploitation, with evidence suggesting that such exploitation has been increasing in terms of both scope and magnitude.2 Sadly, while seniors sometimes fall victim to financial exploitation by strangers, they are often exploited by individuals they know and trust, such as family members or caregivers.

April 30, 2020
FAQ

Will I be able to log in to FINRA Gateway with my existing Firm Gateway credentials? 

Yes, Firm Gateway users will be able to log in to FINRA Gateway using their existing Firm Gateway credentials.

Can I customize my experience in FINRA Gateway? 

Yes. As of April 7, 2020, you can:

April 15, 2020
Guidance
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
April 08, 2020
Guidance

In response to the COVID-19 pandemic, many states and localities have issued workplace restrictions as part of their efforts to prevent the spread of the disease. These “shelter-in-place” or “stay-at-home” orders vary in scope and duration, but generally require businesses not considered “essential” to close their physical offices and continue their operations remotely.

April 03, 2020
Podcast
The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. On this episode, we talk to FINRA’s Chief Legal Officer and Head of Member Supervision to learn how FINRA is adapting its operations and providing important regulatory relief.
March 31, 2020
FAQ

Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. FINRA will continue to monitor the situation to determine whether additional guidance and relief may be appropriate. As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided.

March 24, 2020
Guidance

On March 20, 2020, the Securities and Exchange Commission (the Commission) issued an order that, among other things, provides a temporary exemption until May 30, 2020 from the fingerprinting requirements of Securities Exchange Act Rule 17f-2 for FINRA members (the “March 20 Order”). On May 27, 2020, the Commission issued an order extending the temporary exemption until June 30, 2020.

March 24, 2020
Guidance
FINRA remains fully operational during the COVID-19 outbreak through the support of our robust remote work capabilities, and we continue to carry out our regulatory responsibilities of protecting investors and market integrity in these challenging times.
March 23, 2020
Board of Governors Meeting
Updates from the March 2020 FINRA Board of Governors meeting.
March 18, 2020
Podcast
The CE Council, FINRA and other CE Council members are working together on the biggest change to continuing education for broker dealers in 25 years. On this episode, we hear both the firm and regulatory perspective as we learn what will be changing in the years ahead.
March 03, 2020
Guidance

February 2020

Trading & Financial Compliance Examinations (“TFCE”) of the Market Regulation Department (“Market Regulation”) at the Financial Industry Regulatory Authority, Inc. (“FINRA”) is conducting a review of [FIRM] concerning the Firm’s decision not to charge commissions for customer transactions, the impact that not charging commissions has or will have on the Firm’s order routing practices and decisions, and other aspects of the Firm’s business. 

February 20, 2020
Podcast
When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.
February 18, 2020
Podcast
This episode originally aired in December 2018. More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team work to uncover.
February 04, 2020
Board of Governors Meeting
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
December 13, 2019
FAQ
Frequently Asked Questions (FAQ) regarding the purpose of FINRA Rule 3230 and “do-not-call-lists”
November 27, 2019
Podcast
This episode originally aired in August 2018. In this episode, we hear from FINRA's Chief Economist and Office of General Counsel to learn how FINRA rules are made and reviewed through the FINRA Retrospective Rule Review process.
November 26, 2019
FAQ

Is there a rule that addresses prohibited conditions relating to expungement of customer dispute information?

Yes, FINRA Rule 2081 provides that no member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer’s agreement to consent to, or not to oppose, the member’s or associated person’s request to expunge customer dispute information from the CRD system. 

Does FINRA Rule 2081 apply only to settlements?

November 22, 2019