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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. 

A B C D E F G I L M N O P Q R S T V
Notice
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
August 16, 2013
Guidance
FINRA Announces Modifications Regarding Historic TRACE Data
July 22, 2013
Targeted Examination Letter
The Trading Examinations Unit (“TEU”) within the Trading and Market Making Surveillance (“TMMS”) group of the Market Regulation Department at FINRA is conducting a review of the Firm’s controls and processes in connection with the development and use of trading algorithms , as well as controls surrounding automated trading technology.
July 01, 2013
Guidance
FINRA Revises the Series 55 Examination Program
June 28, 2013
A Few Minutes With FINRA
Robert Colby, FINRA's Chief Legal Officer, explains the process for periodic review of FINRA rules, discusses next steps in FINRA's conflicts review project and provides an update for limited-purpose broker-dealers. (9 min. 4 sec.)
June 11, 2013
Guidance
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
May 28, 2013
Notice
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
May 02, 2013
Targeted Examination Letter
The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). For the purpose of this inquiry, the term “ATS” means an ATS operated by the Firm and/or any affiliate of the Firm that is utilized to route orders or other messages into or out of the ATS.
May 01, 2013
Interpretive Letter

FINRA Rule 2210 - Communications with the Public

April 22, 2013
Notice
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
April 18, 2013
Guidance
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
April 17, 2013
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
April 12, 2013
Interpretive Letter
Request for Interpretive Guidance Under NASD Rule 2711
February 08, 2013
Interpretive Letter

NASD Rule 3010(a)(7) - Annual Compliance Meeting

February 05, 2013
Guidance
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
December 27, 2012
Interpretive Letter
The buy-in requirements under FINRA Rules 11810 and 11870 do not apply for the specified time period to securities identified on the DTC Master List of Inaccessible Certificates, provided that the member firm maintains a detailed record indicating the fail to deliver items related to the physical certificates identified on the DTC Master List of Inaccessible Certificates.
December 21, 2012
Guidance
Guidance on FINRA’s Suitability Rule
December 10, 2012
Guidance
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
December 07, 2012
Notice
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
December 03, 2012
Interpretive Letter

NASD IM-2420-2 - Continuing Commissions Policy

November 27, 2012
Exemptive Letter
Exemptive Letter to Christopher M. Wells, Proskauer Rose LLP
November 02, 2012
Targeted Examination Letter
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
November 01, 2012
Guidance
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
October 31, 2012
Guidance
Guidance to Members Affected by Hurricane Sandy
October 30, 2012
Notice
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
October 19, 2012