Guidance

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.

FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers

eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants

FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program

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.)

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule

FINRA Revises the Series 16 Examination Program

Request for Interpretive Guidance on FINRA Rule 2111 (Suitability) in Relation to EB-5 Program Securities Transactions

FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123

FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning

FINRA Announces Modifications Regarding Historic TRACE Data

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.

FINRA Revises the Series 55 Examination Program

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.)

FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation

FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs

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.

2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

Request for Interpretive Guidance Under NASD Rule 2711