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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Events & Training
Financial Crimes Spotlight Webinars

FINRA Spotlight Webinar

The Financial Crimes Spotlight is a free webinar series hosted by FINRA’s Financial Intelligence Unit that focuses on how to detect and protect against emerging financial crimes and cyber-related threats and trends. 

These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

Upcoming Webinars

Additional Webinars Coming Soon.

FAQ
Market Data Frequently Asked Questions
Market Data Frequently Asked Questions
FAQ
Frequently Asked Questions about Breakpoints
This list of Frequently Asked Questions covers topics such as Rights of Accumulation (ROA) and Letters of Intent (LOI), as well as resources to help you educate your clients.
About FINRA
Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records

Background

A critical part of the registration process in the securities industry is the background investigation of applicants for registration and the timely and accurate reporting of information to the Central Registration Depository (CRD) system via the Form U4 (Uniform Application for Securities Industry Registration or Transfer).

FAQ
Research Rules Frequently Asked Questions (FAQ)
Following are FAQs about FINRA’s research conflicts of interest rules.
FAQ
E-Bill Frequently Asked Questions (FAQ)
1. What is E-Bill and what can I do in E-Bill? E-Bill is FINRA's financial system that enables entitled users to view accounting details of the firm's Flex-Funding and Renewal accounts, fund the accounts, pay annual renewal assessments, and view and pay FINRA invoices.
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.

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.