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 (FAQ) regarding the Order Audit Trail System (OATS)
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
About FINRA
Innovation Outreach Initiative

Background

FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry. A growing number of FinTech firms have been embracing new technologies, pioneering innovative products and developing new client-oriented financial services business models. Many traditional financial service providers are also rethinking their business models, incorporating these technologies and services. As part of the FINRA360 process, FINRA determined that it needed to enhance resources dedicated to this rapidly developing area of the industry.

FAQ
FINRA Qualification and Registration Requirements Frequently Asked Questions (FAQ)

The FINRA qualification and registration requirements are set forth in FINRA Rules 1210 through 1240.1 These rules, among other things: (1) require the registration of individuals as representatives or principals; (2) allow for the permissive registration of associated persons of firms; (3) establish a waiver program for individuals working for a financial services industry affiliate of a member firm; (4) require firms to designate a Principal Financial Officer and a Principal Operations Officer; and (5) set forth requirements for registered persons who are to function as princip

FAQ
The Important Role Customers Play in Assisting FINRA in Investigations
Every day at FINRA, we protect investors from misconduct, stop fraud and provide restitution to harmed customers. And we are successful—in part because customers and other members of the public provide information and crucial evidence during the course of an investigation.
Compliance Tools
Firm Summary Scorecard

The Firm Summary Scorecard provides an overview of certain performance and comparison statistics from each of the active individual report cards in one specific location. The Scorecard supplies data available in the respective report cards for the current month and the preceding month.

Report Glossary

The table below provides a reference description for all of the elements found in the Firm Summary Scorecard. (See Firm Summary Scorecard for a sample segment of the report.)

Term

Compliance Tools
Large Options Positions Report (LOPR) – Over-the-Counter

Term

Description

Unequal Long and Short Positions

FAQ
Regulation A+ FAQs

General

  1. Do Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?
Compliance Tools
Guidance for Digital Asset Applications
Activities relating to digital assets have attracted the interest of prospective and existing FINRA member firms. Digital asset securities with their related innovative technologies raise novel, complex and challenging regulatory and compliance questions, and challenges for both prospective and existing FINRA members.