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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FAQ
Frequently Asked Questions About Dually Registered Representatives and/or IA Representatives of Affiliated Firms in CRD
1. What types of Dual Deficiencies exist? There are three deficiencies: RR/RR, RR/RA, RA/RA. A state may have different requirements for each registration combination. Contact the state regulator directly.
Events & Training
Regulation Best Interest and Form CRS in Practice
Compliance Tools
Customer Letters About Breakpoint Refunds
NASD directed all firms that processed more than a minimal amount of mutual fund transactions using an automated process to conduct a self-assessment of their mutual fund transactions in 2001 and 2002 and the sales discounts provided, and to submit the results to NASD. As of July 30, 2003, the 642 firms listed below submitted assessment results to NASD.
About FINRA
Changes to FINRA Advisory Committees

Background

In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360. Based on comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms, FINRA is making several changes.

Operational Impact of Rule Changes

FAQ
eFOCUS Frequently Asked Questions
  1. How do I entitle someone to access an eFOCUS report?
  2. Where are eFOCUS filings located in the redesigned FINRA Gateway?
  3. How do I transmit an eFOCUS filing to my clearing firm?
  4. When are my eFOCUS filings due?
  5. Where can I see previously filed eFOCUS reports?
  6. How do I amend a submitted eFOCUS report?
  7. How do I print an eFOCUS report?
FAQ
CRCP Scholarship Program FAQ
The FINRA Institute CRCP Scholarship Program provides small firms-those with less than 150 registered representatives-with a financial grant covering full tuition for the entire program, including room and board for the residential courses at Wharton.
Compliance Tools
4530 Disclosure Timeliness Report Card

The 4530 Disclosure Timeliness Report Card is produced on a monthly basis to show a firm's performance in timely reporting of disclosure events as required by FINRA Rule 4530(a) and (b). The information in this report comes primarily from the Rule 4530 Application; to read more about the system, please see Disclosure Events and Customer Complaint Filings.