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
Cybersecurity Alert - April 27, 2022
On April 25, FINRA issued an alert to member firms which highlighted a phishing attack using the domain name “@claims-finra.org”. This alert is to warn you about a new, potentially related, phishing attack also purporting to be from FINRA.
April 27, 2022
Guidance
Cybersecurity Alert - April 25, 2022
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@claims-finra.org.” The domain of “claims-finra.org” is not connected to FINRA and firms should delete all emails originating from this domain name.
April 25, 2022
FAQ
Frequently Asked Questions: Supplemental Liquidity Schedule

See link to FINRA Regulatory Notices 21-31, which includes the schedule and instructions: https://www.finra.org/sites/default/files/2021-09/Regulatory-Notice-21-31.pdf

SECTION 1. REVERSE REPURCHASE AND REPURCHASE AGREEMENTS

Question 1.1: The instructions under Section 1 state in part that members should report the gross contract value of all reverse repurchase and repurchase agreements by collateral type. The instructions provide that:

April 20, 2022
Media Center
MAP Transformation: Streamlining FINRA's Gatekeeper Function
The Membership Application Program Group, FINRA’s the gatekeeper to the broker-dealer industry, is undergoing a transformation to develop a more streamlined process to help firms and prospective firms work through the New Membership and Continuing Membership Application processes more efficiently. On this episode, we learn what firms can expect.
April 19, 2022
Media Center
Encore | 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.
April 05, 2022
Technical Notice
FINRA Statement Regarding Spring4Shell
FINRA is aware of the critical Spring4Shell vulnerability and has taken immediate steps to neutralize the risk.
April 04, 2022
Arbitration and Mediation
The Neutral Corner - Volume 1—2022
The Neutral Corner - Volume 1—2022
March 30, 2022
Media Center
Fraud Stoppers: FINRA’s Market Investigations Team
Detecting and deterring fraud and insider trading is at the core of FINRA's mission of investor protection and market integrity. On this episode, the head of FINRA's Market Investigations team joins us once again to talk about the latest trends and patterns in FINRA's fraud and insider trading investigations, including some stories about some of the craziest and most interesting cases of the past few years.
March 22, 2022
Guidance
Cybersecurity Alert - March 21, 2022

The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is highlighting a statement released today by President Biden regarding possible threats to our nation’s cyber security, urging private sector companies to remain vigilant and harden their cyber defenses "immediately" based on "evolving intelligence that the Russian Government is exploring options for potential cyberattacks." The President

March 21, 2022
Podcast
Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms
The Report on FINRA’s Examination and Risk Monitoring program is an important reference document addressing more than 20 topics of interest for firms and regulators. On this episode, we talk to three members of the Member Supervision team about some key highlights and how firms can use this extensive document.
March 08, 2022
FAQ
Frequently Asked Questions Regarding FINRA Rules Relating to Financial Exploitation of Senior Investors
FINRA Rule 2165 (Financial Exploitation of Specified Adults) is the first uniform national standard for placing temporary holds to address suspected financial exploitation. Rule 2165 permits a member to place a temporary hold on a securities transaction or disbursement of funds or securities from the account of a Specified Adult customer when the firm reasonably believes that financial exploitation of that adult has occurred, is occurring, has been attempted or will be attempted. FINRA Rule 4512 (Customer Account Information) requires members to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account.
March 01, 2022
Guidance
Sanctions Alert: Russia-Related Sanctions

The Special Investigations Unit (SIU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is bringing to your attention some additional Russia-related sanctions developments. Please note that these are in addition to those detailed in FINRA Regulatory Notice 22-06. 

February 28, 2022
Media Center
Celebrating 100: FINRA Unscripted's Greatest Hits
We are celebrating 100 episodes of FINRA Unscripted. We’ve covered a lot of ground over the past 4 years and 100 episodes and today we are taking a trip back in time to revisit some of our greatest hits.
February 22, 2022
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

Disclosure Reporting: CHRI and Criminal Documents

Compliance professionals at member firms are invited to listen in as FINRA staff discusses reviewing Criminal History Record Information (CHRI) reports and submitting criminal documents in response to disclosure requests.

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