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
FINRA Gateway Frequently Asked Questions

Will I be able to log in to FINRA Gateway with my existing Firm Gateway credentials? 

Yes, Firm Gateway users will be able to log in to FINRA Gateway using their existing Firm Gateway credentials.

Can I customize my experience in FINRA Gateway? 

Yes. As of April 7, 2020, you can:

April 15, 2020
Podcast
Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection
FINRA is committed to the protection of senior investors and other vulnerable adults. That’s why FINRA launched the Securities Helpline for Seniors. On this episode, we hear how the Helpline handles calls, frequent areas of concern and how the Helpline has evolved over the five years since its launch.
April 14, 2020
Guidance
FINRA Highlights Firm Practices from Regulation Best Interest Preparedness Reviews
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
April 08, 2020
Podcast
Business in the Time of COVID-19: BCPs, Regulatory Relief & More
The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. On this episode, we talk to FINRA’s Chief Legal Officer and Head of Member Supervision to learn how FINRA is adapting its operations and providing important regulatory relief.
March 31, 2020
Guidance
SEC Guidance and Resources Relevant to Member Firms

SEC's COVID-19 Response page

https://www.sec.gov/sec-coronavirus-covid-19-response

606 Relief

https://www.sec.gov/rules/exorders/2020/34-88478.pdf

March 27, 2020
FAQ
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. FINRA will continue to monitor the situation to determine whether additional guidance and relief may be appropriate. As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided.

March 24, 2020
Guidance
Termination of SEC Temporary Exemptive Relief from Fingerprinting Requirements for, Among Others, Members and All of Their Associated Persons; Termination of Additional Temporary Extension of Time for Fingerprinting Under FINRA Rules

On March 20, 2020, the Securities and Exchange Commission (“Commission”) issued an order that, among other things, provided a temporary exemption until May 30, 2020, from the fingerprinting requirements of Securities Exchange Act Rule 17f-2 for FINRA members and transfer agents registered with the Commission (“March 20 Order”).

March 24, 2020
Guidance
Regulatory Operations Update
FINRA remains fully operational during the COVID-19 outbreak through the support of our robust remote work capabilities, and we continue to carry out our regulatory responsibilities of protecting investors and market integrity in these challenging times.
March 23, 2020
Board of Governors Meeting
March 2020 Board Update
Updates from the March 2020 FINRA Board of Governors meeting.
March 18, 2020
Podcast
FINRA & CE Council: Enhancing Industry Continuing Education
The CE Council, FINRA and other CE Council members are working together on the biggest change to continuing education for broker dealers in 25 years. On this episode, we hear both the firm and regulatory perspective as we learn what will be changing in the years ahead.
March 03, 2020
Guidance
Targeted Examination Letter on Zero Commissions

February 2020

Trading & Financial Compliance Examinations (“TFCE”) of the Market Regulation Department (“Market Regulation”) at the Financial Industry Regulatory Authority, Inc. (“FINRA”) is conducting a review of [FIRM] concerning the Firm’s decision not to charge commissions for customer transactions, the impact that not charging commissions has or will have on the Firm’s order routing practices and decisions, and other aspects of the Firm’s business. 

February 20, 2020
Podcast
Advertising Regulation: Expect More Than Just Hype
When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.
February 18, 2020
Podcast
Encore | Insider Trading: Finding the Needle in the Haystack
This episode originally aired in December 2018. More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team work to uncover.
February 04, 2020
Podcast
What to Expect: The 2020 Exam and Risk Monitoring Program
The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program. On this episode, we kick off the new Roaring 20s with a look at what to expect from the program in the year ahead.
January 07, 2020
Board of Governors Meeting
December 2019 Board Update
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
December 13, 2019
Podcast
A Career Highlight: Exam and Risk Monitoring Program Transformation Update
FINRA’s examination and risk monitoring program is in the midst of a large-scale transformation to make FINRA a more effective, agile and risk-focused regulator. On this episode, Executive Vice President Bari Havlik provides an update on where the group is one year later.
December 10, 2019
FAQ
Frequently Asked Questions Regarding FINRA Rule 3230
Frequently Asked Questions (FAQ) regarding the purpose of FINRA Rule 3230 and “do-not-call-lists”
November 27, 2019
Podcast
Encore | How FINRA Rules Get Made (And Reviewed)
This episode originally aired in August 2018. In this episode, we hear from FINRA's Chief Economist and Office of General Counsel to learn how FINRA rules are made and reviewed through the FINRA Retrospective Rule Review process.
November 26, 2019
Podcast
The Buildathon: Creating New Technology in Service of Investors
Hackathons aren’t new. But what about a Buildathon? On this episode, we learn about a unique collaboration between FINRA, the private sector and academia that challenged some of the best technology students to solve common problems faced by everyday investors.
November 12, 2019
Podcast
2019 Ketchum Prize: The Evolving World of Retirement Security
Dr. Olivia S. Mitchell’s research into the evolving world of retirement security earned her the 2019 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, Dr. Mitchell discusses her research and how the way Americans think about and plan for retirement is changing.
October 29, 2019
Guidance
2019 Report on Examination Findings and Observations
In both 2017 and 2018, FINRA issued Reports on Examination Findings in response to firms’ requests that we make publicly available a summary of key findings from FINRA’s examinations of member firms. Firms use this information, as well as effective practices observed by FINRA at certain firms, to anticipate potential areas of concern and improve their procedures and controls. (We subsequently refer to the two prior years’ documents as the “2017 Report” and the “2018 Report.”)
October 16, 2019
Podcast
Regulation Best Interest: Preparing for a New Standard of Conduct
Soon brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of Regulation Best Interest. What is the new standard? What will firms need to do to comply? Tune in to learn more from FINRA’s Chief Legal Officer.
October 15, 2019
Board of Governors Meeting
September 2019 Board Update
FINRA CEO Robert Cook and members of the FINRA Board of Governors provide updates from the September 2019 FINRA Board of Governors meeting.
October 03, 2019
Report / Study
2019 Industry Snapshot
FINRA regulates a critical part of the securities industry – brokerage firms doing business with the public in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work. 
October 02, 2019
Podcast
Market Regulation Enforcement: Ensuring Market Integrity
What happens if a brokerage firm doesn’t report trading information appropriately? At first, it might seem like it isn’t a big deal – just a data issue. But is vital. Accurate market data is at the foundation of FINRA’s efforts to ensure the integrity of our markets.
October 01, 2019