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. By Topic By Date 5 A B C D E F G H I L M N O P Q R S T V 5 529 Savings Plans A Accounts At Other Broker Dealers and Financial Institutions Advertising Regulation Algorithmic Trading Alternative and Complex Products Alternative Display Facility (ADF) Annual Audit Anti-Money Laundering Arbitration and Mediation Auction Rate Securities B Back testing Best Execution Block Chain / Distributed Ledger Technology Blue Sheets Bonds Books and Records Branch Offices Breakpoints Broker Dealer Registration Broker-Dealer Recruitment Disclosures BrokerCheck Business Cards Business Continuity Planning Business Development Company (BDC) C Capital Acquisition Brokers Central Registration Depository (CRD) Communications with the Public Compliance Resources Conflicts of Interest Consolidated Audit Trail (CAT) Consolidated Reports Continuing Education Continuing Membership Applications Corporate Financing COVID-19 / Coronavirus Credit for Cooperation Crypto Assets Customer Account Statements Customer Account Transfers Customer Information Protection Cybersecurity D Day Trading Deferred Annuities Digital Experience Transformation (DXT) Direct Participation Programs (DPPs) E E-Bill Education EFocus Electronic Communications Electronic Fingerprint Processing Enforcement Enforcement Process Essentials Exam Exam Restructuring Exchange Traded Funds (ETFs) Expertise Expungement F Filing Requirements Financial and Operational Rules, Interpretations to the SEC’s Financial Professional Gateway (FinPro) Financial Responsibility Fingerprints FINRA Foundation FINRA Membership/Name FINRA360 FinTech Firm Examination Program Fixed Income Foreign Exchange Trading Free Writing Prospectus Funding and Liquidity Funding Portals G GASB Accounts Support Fee Ghost-writing Gifts, Gratuities and Non-Cash Compensation Governmental Accounting Standards Board (GASB) H Hedge Funds Hyperlinks I Illiquid Investments Indications of Interest Individual Registration Individual Retirement Accounts (IRAs) Information and Testimony Requests Initial Public Offering (IPO) Investment Banking Referrals Investors L Letterhead Life Settlements M Margin Regulation Mark-ups / Mark-Downs Market Access Member Application Program Mergers Acquisitions and Business Transfers Military Money Market Securities Municipal Advisor Regulation Municipal Securities Mutual Funds N National Market System Plans Near Retirement Negative Response Letters Net Capital New Account Process O Office of Hearing Officers (OHO) Options Options Allocation Options Exchange Filings Order Audit Trail System (OATS) OTC (ATS & Non-ATS) Transparency Over-the-Counter Reporting Facility (ORF) P Principal Approval Principal Protected Notes Private Placements Product Vetting Professional Designations Projections Proprietary Trading Public non-traded REITS Public Offerings Q Qualification Exams R Real Estate Investment Trusts Registered Investment Advisers (RIA) Regulation Best Interest (REG BI) Regulation D Offerings Regulation M Regulation NMS Related Performance Remote Inspections Pilot Program Research Analyst Rules Research Reports Residential Supervisory Locations (RSLs) Reverse Convertible Notes (RCN) Rule 4530 Reporting Requirements S Sanction Guidelines SEC’s July 2013 Financial Responsibility Rule Amendments Senior Designations Senior Investors Short Interest Reporting Short Selling Social Media Statutory Disqualification Structured Products Suitability Supervision Supplemental Liquidity Schedule Supplemental Statement of Income (SSOI) T Taping Rule Telemarketing Templates Third Party Research TRACE ATS Reporting Trade Reporting and Compliance Engine (TRACE) Trade Reporting Facility (TRF) Trading Activity Fee V Variable Annuities Variable Life Insurance Products VIX-Linked Products (Volatility Index) Pagination Previous page ‹ Previous Page 48
