Guidance | FINRA.org

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
Market Order Timeliness Report Card

The Market Order Timeliness (MOT) Report Card is a monthly status report based upon data reported to OATS detailing the number of customer market orders executed by your firm in NMS securities that were delayed in receiving a full execution in possible violation of both rules regarding full and prompt execution of customer market orders and the Best Execution rule. If non-compliance with these rules is found to exist, your firm may be found to be in violation of FINRA Rules 5310 and 5320.

FAQ
Membership Application Program Group (MAP) Frequently Asked Questions
Prospective FINRA member firms must seek approval for new FINRA membership through the submission of a New Membership Application (NMA or Form NMA) in accordance with FINRA Rule 1013 (New Member Application and Interview). Existing FINRA member firms that are contemplating a material change in ownership, control, or business operations must submit a Continuing Membership Application (CMA or Form CMA) in accordance with FINRA Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations). Both types of applications are reviewed by FINRA’s Membership Application Program (MAP) Group.
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
Capital Raising 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
FAQ regarding Order Audit Trail System (OATS) Compliance
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
FAQ
Frequently Asked Questions about the Central Registration Depository (CRD)
The following frequently asked questions provide information about the Central Registration Depository (CRD).
Compliance Tools
MSRB Markup/Markdown Analysis Report

The MSRB Markup/Markdown Analysis Report is a monthly report designed to assist firms in their supervision activities by providing transparency into a portion of FINRA's surveillance of fixed income transactions' customer pricing.  

The MSRB Markup/Markdown Analysis Report is built upon logic developed to pair purchase and sale transactions reported to EMMA.