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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About FINRA
Regulatory Operations Oversight Committee (ROOC)

Background

In March 2017, FINRA's Board of Governors established a new standing committee, the Regulatory Operations Oversight Committee (ROOC), to advise and assist the Board in providing oversight on FINRA's regulatory operations, and supplementing FINRA's broader self-evaluation through FINRA360. This includes providing guidance on the full breadth of FINRA's regulatory operations, including Member Supervision, Market Regulation and Enforcement, among others. The ROOC does not engage in discussions regarding individual enforcement matters.

FAQ
Rule 4530 Frequently Asked Questions
Frequently asked questions and answers
FAQ
FINRA Entitlement Program Frequently Asked Questions
The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
Compliance Tools
Customer Debits Report

In Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE data, pursuant to Rule 4540, at this time.  As a result, effective November 30, 2023, the Customer Debits Report was retired from the FINRA Report Center.

FAQ
Frequently Asked Questions About Disclosure in CRD
CRD FAQ - Form Filing for Individuals - Disclosure
Compliance Tools
Breakpoints Written Disclosure Document
To assist the financial industry in fulfilling its obligation to provide all available breakpoint discounts on sales of front end load mutual funds, the Joint NASD/Industry Task Force recommended that broker-dealers provide investors with a Written Disclosure Statement, explaining the availability of breakpoint discounts, at the time of purchase or on a periodic basis.
About FINRA
Regulatory Policy

FINRA has made a number of changes in the area of regulatory policy to improve the policy development process and better ensure that our rules reflect current industry dynamics.