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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. 

4 5 A B C D E F G H I L M N O P Q R S T U V
2017 Exam Findings Report
FINRA observed some firms that engaged in institutional sales of fixed income securities frequently did not comply with certain key TRACE reporting rules—FINRA Rules 6730(a)(7),23 6730(b)(1) and (2),24 and 6730(c)(8)
December 01, 2017
2017 Exam Findings Report
Cybersecurity is one of the principal operational risks facing broker-dealers. Recent revelations regarding successful attacks at a number of different entities underscore the need for firms to be vigilant in addressing cybersecurity threats.
December 01, 2017
Guidance
As trading in the U.S. securities markets has become more automated, the potential impact of a trading error or a rapid series of errors—caused by a computer or human error, or a malicious act—has become more severe.
December 01, 2017
Guidance
FINRA Provides Guidance to Firms Regarding Anti- Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
November 21, 2017
Targeted Examination Letter

November 2017

The Trading & Financial Compliance Examinations (TFCE) section of the Market Regulation Department (Market Regulation) at the Financial Industry Regulatory Authority, Inc. (FINRA) is conducting a review of [FIRM] concerning the impact the receipt of order routing inducements, such as payment for order flow and maker-taker rebates, has on the Firm’s [equities and options] order routing practices and decisions. As part of this review, TFCE requests that the Firm provide complete and detailed responses to the following:

November 10, 2017
Podcast
It may not be possible to predict when the next natural disaster will take place. What you can count on is that when it happens, scammers will try to take advantage of the situation. These tips will help you spot and avoid investment scams.
September 20, 2017
FAQ
View frequently asked questions and guidance about covered agency transactions under FINRA rule 4210 and frequently asked questions regarding SEA Rule 15c3-1 and Rule 15c3-3.
September 18, 2017
Guidance
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
September 01, 2017
Compliance Tools
Small Firm Resources for OATS
August 31, 2017
Podcast
In this podcast, FINRA busts four common myths about online trading.
August 29, 2017
Board of Governors Meeting
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
July 18, 2017
Podcast
In this podcast, FINRA provides tips for making the most of your retirement savings and getting your full employer match each year.
July 13, 2017
Filing and Reporting
Effective July 10, 2017
July 10, 2017
Guidance
On-Demand Recording: Phone-In Workshop | Original Program Date: June 8, 2017
June 27, 2017
Investor Education
In this podcast, FINRA explains the basics of lending to Uncle Sam through treasury securities
June 16, 2017
Interpretive Letter
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
June 12, 2017
Podcast
In this podcast, FINRA explains the key investing concepts of return and rate of return.
May 24, 2017
Board of Governors Meeting
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
May 10, 2017
Guidance
A “family office,” as defined in the Advisers Act, may be considered an “investment adviser” for purposes of meeting the limited exception of FINRA Rule 5131.02.
May 09, 2017
Guidance
On-Demand Recording: Phone-In Workshop and WebEx Presentation; Original Program Date: April 6, 2017
May 04, 2017
A Few Minutes With FINRA
FINRA Cam Funkhouser, Executive Vice President of FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI), suggests some “red flags” firms should look out for with regard to insider trading, provides an overview of recent cases his office has handled, and explains how to contact FINRA with a tip about insider trading or other fraud. (8 min. 11 sec.)
April 10, 2017
Investor Education
In this podcast, FINRA explains the four financial goals those just getting started with saving and investing should set right now.
March 27, 2017
Board of Governors Meeting
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's March Board of Governors meeting.
March 08, 2017