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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FAQ
Frequently Asked Questions about the Uniform Practice Code (UPC)
A list of frequently asked questions related to UPC.
About FINRA
FINRA Governance and Transparency
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Background

In response to the March 2017 Special Notice on Engagement

FAQ
Supervision Frequently Asked Questions (FAQ)
Supervision Frequently Asked Questions (FAQ)
About FINRA
Enhancements to the Securities Industry Continuing Education Program (CE Program)

Background

In 2018, FINRA and the Securities Industry/Regulatory Council on Continuing Education (CE Council) launched an initiative to evaluate enhancements to the CE Program. The overall goal of the program review is to reflect advances in technology and learning theory while continuing to ensure that registered persons receive timely education on the securities business and the regulatory requirements applicable to their respective functions.

Compliance Tools
OATS Compliance Monthly Report Card

The OATS Compliance Report Card is a monthly status report on the number and percentage of:

Arbitration and Mediation
Honoraria & Expenses for Arbitrators

On this Page

Honoraria

FINRA will pay arbitrators honoraria in accordance with the Codes of Procedure. The following page answers the most commonly asked questions regarding honoraria.

Guidance
SEC Rule 605
In November 2000, the SEC adopted Exchange Act Rule 11Ac1-5. Rule 11Ac1-5 is aimed at improving public disclosure of order execution quality. Under Rule 11Ac1-5, the SEC requires market centers that trade national market system securities to make monthly electronic reports.
Compliance Tools
Equity Report Cards
These report cards will help firms track their compliance with key equity trading rules related to CAT, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.
Guidance
FINRA Investor Education Foundation Releases Latest National Financial Capability Study (NFCS)

While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for women, millennials, African-Americans, Hispanics and those without a high school education, according to the NFCS, one of the largest and most comprehensive financial capability studies in the United States. The study measures four key components of financial capability—making ends meet, planning ahead, managing financial products and financial knowledge and decision making.

FAQ
Qualification Exam Frequently Asked Questions (FAQ)
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
Compliance Tools
OATS Compliance Daily Report Card

The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card.

The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files.

Summary Definitions and Data Fields

Term

Definition

Guidance
Interpretations of Rule 4210
The interpretations offer guidance to assist firms in complying with FINRA Rule 4210.
Compliance Tools
New Account Application Template
The New Account Application Template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their new account forms.
Compliance Tools
Corporate Financing Report Cards
Report cards created for firms to monitor timeliness of Corporate Financing filings.These report cards display statistics about late filings submitted to Corporate Financing.
FAQ
OATS Clock Synchronization FAQ
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
FAQ
Trade Reporting Frequently Asked Questions
The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).