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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. 

A B C D E F G I L M N O P Q R S T V
Guidance
A “family office,” as defined in the Advisers Act, may be considered an “investment adviser” for purposes of meeting the limited exception of FINRA Rule 5131.02.
May 09, 2017
Guidance
On-Demand Recording: Phone-In Workshop and WebEx Presentation; Original Program Date: April 6, 2017
May 04, 2017
A Few Minutes With FINRA
Noah Egorin describes the risk monitoring reports that are available through FINRA’s Report Center. (9 min. 53 sec.)
April 25, 2017
A Few Minutes With FINRA
FINRA Cam Funkhouser, Executive Vice President of FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI), suggests some “red flags” firms should look out for with regard to insider trading, provides an overview of recent cases his office has handled, and explains how to contact FINRA with a tip about insider trading or other fraud. (8 min. 11 sec.)
April 10, 2017
Report / Study
Comment Period Expired: March 31, 2017
March 31, 2017
Investor Education
In this podcast, FINRA explains the four financial goals those just getting started with saving and investing should set right now.
March 27, 2017
A Few Minutes With FINRA
Robert Cook talks about the recently published Special Notice seeking comment on enhancements to certain aspects of FINRA’s engagement efforts. (8 min. 44 sec.)
March 21, 2017
Video
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's March Board of Governors meeting.
March 08, 2017
Guidance

The Fixed Income Distributions file is a cumulative list of distributions that have been announced during the calendar year. These include cash, stock and in kind distributions as a result of a bankruptcy reorganization plan, default interest payments, or other distributions in fixed income securities. FINRA’s Operations Department reviews and processes these company-related actions pursuant to SEA Rule 10b-17 and FINRA Uniform Practice Code (FINRA Rule 11000 Series) to facilitate the orderly trading and settlement of OTC securities.

February 24, 2017
A Few Minutes With FINRA
Haimera Workie, FINRA’s Senior Director for Emerging Regulatory Issues, leads viewers through FINRA’s report on the implications of distributed ledger technology—providing a definition of the technology, discussing how it is being used, and explaining key implementation and regulatory considerations for broker-dealers.
February 07, 2017
A Few Minutes With FINRA
Bill Wollman and Mike Rufino explain the nine risks that inform FINRA’s risk-based examination and surveillance program, and give examples of what staff looks for when assessing a firm’s risk. (19 min. 52 sec.)
January 18, 2017
Technical Documentation

FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017. For details regarding this change, see Regulatory Notice 16-32.

Full Video

January 17, 2017
Video

FINRA President and CEO Robert Cook, Chairman of the Board Jack Brennan and Finance Committee Chair John Davidson review rulemaking and other issues discussed at FINRA's December Board of Governors meeting. In addition to the video, a summary of the board rulemaking actions is also available.

December 15, 2016
Compliance Tools
This daily report acts as a compliance tool for Tick Size market-making firms to review their required submissions to FINRA’s Market Maker Transaction Reporting System for the Tick Size Pilot Program.
November 08, 2016
Targeted Examination Letter
FINRA is conducting an inquiry regarding incentives for broker-dealer ("firm") employees to:
October 26, 2016
Compliance Tools

To help firms monitor their reporting of TRACE-eligible securities, FINRA offers TRACE Quality of Markets Report Cards for Securitized Products, Corporate Bonds, and Agency Debt.

The report cards include the following features:

October 25, 2016
Compliance Tools
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These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.

October 25, 2016
Compliance Tools
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
October 25, 2016
Compliance Tools
Monitor a firm's performance in reporting disclosure and non-disclosure events and Web CRD late filing fee information.
October 25, 2016
Compliance Tools
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These reports and report cards display summaries and statistics related to various risk factors, including canceled trades, sales practice and customer complaints, and more.

October 25, 2016
Compliance Tools
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TITLE AND DESCRIPTION DOCUMENTATION
Continuing Education Regulatory Element Report
October 25, 2016
Compliance Tools
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These report cards will help firms track their compliance with key equity trading rules related to OATS, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.

October 25, 2016
Compliance Tools
Corporate Financing Report Cards
October 25, 2016
Compliance Tools
Cross-Market Supervision Report Cards
October 25, 2016