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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2019 Exam Findings Report
Financial Management
Compliance Tools
Municipal Trades Below Minimum Denomination Report

The Municipal Trades Below Minimum Denomination Report displays statistics about transactions your firm effected with customers where the denomination was below the minimum denomination provided to DTCC’s New Issue Information Dissemination Service (NIIDS) and/or reference data obtained from Thomson Reuters.  This report is designed to aid firms in monitoring their compliance with MSRB Rule G-15(f).  MSRB Rule G-15 (f) requires, with some exceptions, that firms should no

Compliance Tools
TRACE Foreign Sovereign Debt Report Card
The TRACE Detail Data Download is designed to accompany the TRACE Quality of Markets Summary Report Card as a tool to help a firm analyze and improve its compliance-related activities associated with reporting transactions via TRACE.
FAQ
BrokerCheck FAQ
Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
FAQ
Operations Professional Registration Frequently Asked Questions (FAQ)

General Ledger

1. A person (GL Clerk) who has limited roles that do not meet the criteria under Rule 1220(b)(3)(A)(i)a. or b., is responsible for making journal entries into the member’s general ledger some of which represent material amounts for the firm. The journal entries serve to record the firm’s transactions on its books and records but do not affect the movement of money or securities or otherwise commit the firm’s capital. The GL Clerk is not permitted to commit the member to any contract or agreement (written or oral).