Guidance

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

SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities

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.

Guidance on FINRA’s Suitability Rule

Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays

FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy

Exemptive Letter to Christopher M. Wells, Proskauer Rose LLP

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.

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

Guidance to Members Affected by Hurricane Sandy

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