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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
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
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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
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

These report cards support firms' compliance with Chicago Board Options Exchange and C2 Options Exchange rules.

October 24, 2016
Video

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

September 30, 2016
Targeted Examination Letter
FINRA is conducting an inquiry with respect to Unit Investment Trust (“UIT”) rollovers. In connection with our inquiry, we request that firm provide the following documents and information for the period from January 1, 2014 through June 30, 2016 (the “Review Period”) to the undersigned by no later than October 10, 2016.
September 13, 2016
Guidance
Effective July 10, 2017
September 07, 2016
FAQ
In March 2016, the SEC approved the adoption of FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers).
August 19, 2016
Exemptive Letter
Application for exemptive relief from trade reporting obligation for certain teransactions on an Alternative Trading System
August 09, 2016
Targeted Examination Letter
FINRA is conducting an inquiry with respect to non-traded Business Development Companies (“BDCs”).
August 04, 2016
Guidance

July 27, 2016

Mr. Thomas S. Vales
Chief Executive Officer
TMC Bonds L.L.C.
850 3rd Avenue, 9th Floor
New York, NY 10022


Re: Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System 

Dear Mr. Vales:

July 27, 2016
Video

FINRA Chairman and CEO Rick Ketchum and Lead Governor Jack Brennan review rulemaking and other issues discussed at FINRA's July Board of Governors meeting. In addition to the video, a summary of the board actions is also available.

July 15, 2016
FAQ
Q1. Is a firm required to report on the OBS the market value of underwriting commitments entered into on a “best efforts” basis?
A1. No. Underwriting commitments entered into on a “best efforts” basis are not required to be reported on the OBS.
Q2.
June 16, 2016
Guidance
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
June 09, 2016
Compliance Tools
FINRA has created a checklist to assist small firms in establishing a cybersecurity program.
May 23, 2016