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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Notice
Regulatory Notice 08-40
Technology Changes for Reporting Certain Complaint and Disclosure Information
August 06, 2008
Guidance
Regulatory Notice 08-38
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
July 23, 2008
Notice
Regulatory Notice 08-37
Regulatory Notice 08-37 - FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
July 17, 2008
Interpretive Letter
FINRA Office of General Counsel (Auction Rate Securities)

NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities

July 09, 2008
Guidance
Targeted Examination Letter on False or Misleading Rumors

July 2008

July 01, 2008
Guidance
Regulatory Notice 08-32
FINRA Consolidates the Collection and Processing of Regulation T and SEC Rule 15c3-3 Extension of Time Requests
June 23, 2008
Notice
Regulatory Notice 08-30
Guidance Relating to Illiquid Investments
June 12, 2008
Guidance
Regulatory Notice 08-29
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
June 02, 2008
Notice
Regulatory Notice 08-27
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
May 20, 2008
Interpretive Letter
Letter from FINRA Office of General Counsel, May 15, 2008
NASD Rule 2510 - Discretionary Accounts - Use of a negative response process under NASD Rule 2510(d)(2)(D) to designate an alternative money market sweep fund when existing sweep fund closes with inadequate notice.
May 15, 2008
Guidance
Improving Examination Results
FINRA issues this publication to assist member firms in their compliance efforts. As in past years, this edition highlights examination priorities and frequently found deficiencies relating to FINRA's examination program.
May 01, 2008
Notice
Regulatory Notice 08-21
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
April 30, 2008
Notice
Regulatory Notice 08-17
Reporting of Customer Complaints Relating to Auction Rate Securities; Effective Date: April 1, 2008
April 08, 2008
Notice
Regulatory Notice 08-18
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
April 08, 2008
Notice
Regulatory Notice 08-13
FINRA Consolidates the Collection of Short Interest Data; Effective Date: May 15, 2008
March 27, 2008
Guidance
Regulatory Notice 08-09
FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
March 14, 2008
Guidance
Targeted Examination Letter on Information Barriers

January 2008

FINRA is conducting a review of the policies, procedures and controls with respect to information barriers. To facilitate this review, FINRA requests a copy of the following information and/or documentation:  

January 01, 2008
Interpretive Letter
Interpretive Letter to Richard Schultz, Triad Securities Corp.
NASD Rule 2420 - Dealing with Non-Members
December 28, 2007
Interpretive Letter
Interpretive Letter to Mr. Julian Rainero, Bracewell & Giuliani LLP
NASD Rules 6950-6957 (OATS)
December 19, 2007
Guidance
Interpretive Letter to Amal Aly, SIFMA (Reasonable and Customary Bereavement Gifts)

NASD Rule 3060 - Influencing or Rewarding Employees of Others

December 17, 2007
Guidance
Regulatory Notice 07-60

Financial Reporting Relief

December 11, 2007
Notice
Regulatory Notice 07-59
In June 2007, FINRA (then NASD and NYSE Member Regulation)1 issued for comment proposed guidance regarding the review and supervision of electronic communications. FINRA received 16 comment letters, with a majority of commenters supporting the guidance.
December 07, 2007
Guidance
Regulatory Notice 07-56

Continuing Education

Regulatory Notice

Notice Type

November 19, 2007
Notice
Regulatory Notice 07-55

Personnel Background Investigations

Regulatory Notice

Notice Type

November 14, 2007
Notice
Regulatory Notice 07-49

Regulatory Relief

PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated, including the NYSE rules referenced in this Notice. The incorporated NYSE Rules apply solely to members of FINRA that are also members of NYSE on or after July 30, 2007, referred to as "Dual Members." Dual Members also must comply with NASD Rules. Until the adoption of a consolidated rulebook, FINRA's Regulatory Notices will address both NASD and the incorporated NYSE Rules.

October 25, 2007