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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
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
September 01, 2017
Compliance Tools
Small Firm Resources for OATS
August 31, 2017
Podcast
In this podcast, FINRA busts four common myths about online trading.
August 29, 2017
A Few Minutes With FINRA
Dave Kelley explains common cybersecurity program deficiencies related to vendor management, branch-level controls and data protection. (7 min. 45 sec.)
July 24, 2017
Video
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
July 18, 2017
A Few Minutes With FINRA
Dave Kelley talks about formalizing the oversight of a firm's cyber program and strengthening controls around access to data and systems. (6 min. 24 sec.)
July 17, 2017
Podcast
In this podcast, FINRA provides tips for making the most of your retirement savings and getting your full employer match each year.
July 13, 2017
A Few Minutes With FINRA
Susan Axelrod and Dave Kelley discuss common deficiencies FINRA staff see during examinations of firm's cybersecurity programs. (6 min. 34 sec.)
July 10, 2017
Guidance
On-Demand Recording: Phone-In Workshop | Original Program Date: June 8, 2017
June 27, 2017
Investor Education
In this podcast, FINRA explains the basics of lending to Uncle Sam through treasury securities
June 16, 2017
Interpretive Letter
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
June 12, 2017
Podcast
In this podcast, FINRA explains the key investing concepts of return and rate of return.
May 24, 2017
Video
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
May 10, 2017
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