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
Supplemental Statement of Income (SSOI) Frequently Asked Questions
Read the frequently asked questions for information on filling out each section of the SSOI.
Compliance Tools
Web CRD Form BD Timeliness Report Card

The Web CRD Form BD Timeliness Report Card is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to applicant member and/or affiliate(s). This report displays a firm's performance in submitting certain BD amendment filings in the required time frame.

Compliance Tools
TRACE Treasuries Execution Time Difference Report Card
The TRACE Treasuries Execution Time Difference report is a monthly summary of execution time comparisons for inter-dealer trades in U.S. Treasury Securities reported to TRACE. Firms are required to report trades in accordance with established FINRA rules and regulations.
Events & Training
FINOP Focus Webinar Series
FINRA Spotlight Webinar

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This targeted educational series is designed specifically for Financial and Operations Principals (FINOPs) and compliance professionals. Each session delivers timely, practical guidance on regulatory updates and operational requirements that directly impact your firm's financial and operational compliance.

FAQ
Frequently Asked Questions about Continuing Membership Applications
Continuing Membership Guide - Frequently Asked Questions