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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
Targeted Examination Letter
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
January 01, 2014
Guidance
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
December 30, 2013
Guidance
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
December 19, 2013
Guidance
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
November 01, 2013
Guidance
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
October 31, 2013
A Few Minutes With FINRA
Rick Ketchum, FINRA’s Chairman and CEO, provides background information on FINRA’s recent Report on Conflicts of Interest and discusses what firms should be thinking about with respect to managing conflicts. (8 min. 3 sec.)
October 22, 2013
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
October 18, 2013
Guidance
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
September 25, 2013
Guidance
FINRA Revises the Series 16 Examination Program
August 28, 2013
Interpretive Letter
Request for Interpretive Guidance on FINRA Rule 2111 (Suitability) in Relation to EB-5 Program Securities Transactions
August 26, 2013
Guidance
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
August 19, 2013
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
Guidance
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