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. 

5 A B C D E F G H I L M N O P Q R S T V

5

A

B

C

D

E

F

G

H

I

L

M

N

O

P

Q

R

S

T

V

Compliance Tools
Small Firm Business Continuity Plan Template
FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).
Guidance
What to Expect: Anti-Money Laundering Reviews During Routine Examinations
This webcast focuses on what firms should expect from the Anti-Money Laundering reviews conducted as part of FINRA's routine examinations. We will review how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.
About FINRA
FINRA Examination Program Improvements

Background

Examinations are central to FINRA's regulatory operations, and they are one of the principal means by which the organization protects investors and promotes market integrity. FINRA's examinations also aim to provide valuable feedback to firms on areas for improvement and best practices based on insights we have gathered from examining others in the industry.

FAQ
Corporate Financing Amended Rule 5110* Frequently Asked Questions (FAQ)
Frequently asked questions about public offerings
FAQ
Frequently Asked Questions About Form Filing for Individuals in CRD
CRD - FAQ Form Filing for Individuals
2019 Exam Findings Report
Market Integrity
Compliance Tools
Underwriter Financial Status Report

The Underwriter Financial Status Report is a monthly report designed to help firms evaluate the timeliness of financial disclosures made to EMMA, for issuances previously brought to market.   

The purpose of this report is to highlights issuances lacking current audited financial filings (LCF) and the lateness of these missing financial filings, based on their anticipated filing time line.

The report offers two alternate views: