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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Compliance Tools
Best Execution Outside-of-the-Inside Report Card

The Best Execution Outside-of-the-Inside (BE) report card is a monthly status report detailing the number of transactions reported to a FINRA Facility (i.e., a FINRA Trade Reporting Facility or FINRA's Alternative Display Facility) in which your firm participated that were executed Outside-of-the-Inside market in apparent violation of the Best Execution Rule. If non-compliance with the Best Execution Rule is found to exist, your firm may be found to be in violation of FINRA Rule 5310.

FAQ
Reg BI Frequently Asked Questions

The Frequently Asked Questions below are taken directly from the Securities and Exchange Commission’s Regulation Best Interest and Form CRS FAQ pages. The below are FINRA’s best attempt to highlight the latest SEC FAQs, but additional FAQs may have been published that are not posted on this page. For the latest FAQs on Reg BI and Form CRS, please visit the SEC’s website.

SEC Frequently Asked Questions on Regulation Best Interest

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
National Market System Plans
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
Compliance Tools
Peer-2-Peer Compliance Library

From cybersecurity to new product review, the FINRA Peer-2-Peer Compliance Library is a one-stop source for templates, checklists and other materials provided by FINRA-registered firms as supplemental resources at FINRA events. Investment professionals can browse the library after logging in with FINRA Gateway credentials. If you have feedback on the Peer-2-Peer Compliance Library, send an email to Member Relations and Education.

FAQ
Filing a Claim FAQ
  1. How long do I have to file an arbitration?
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.
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: