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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Guidance
Guidelines for Use of FINRA and TRACE Trademark
This document provides guidelines regarding the use of the Trace Reporting and Compliance Engine and TRACE trademarks. Any use of these trademarks must be in accordance with these guidelines.
FAQ
Operations Professional Registration Frequently Asked Questions (FAQ)

General Ledger

1. A person (GL Clerk) who has limited roles that do not meet the criteria under Rule 1220(b)(3)(A)(i)a. or b., is responsible for making journal entries into the member’s general ledger some of which represent material amounts for the firm. The journal entries serve to record the firm’s transactions on its books and records but do not affect the movement of money or securities or otherwise commit the firm’s capital. The GL Clerk is not permitted to commit the member to any contract or agreement (written or oral).