Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey

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
What should a firm do after it discovers that a customer’s account has been compromised?

Video

CRCP® Program Overview

Learn more about the purpose and content of the FINRA Institute at Georgetown CRCP® program. They include building a culture of compliance and helping compliance professionals take their careers to the next level.


FAQ
The following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.