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. 

5 A B C D E F G H I L M N O P Q R S T V

5

A

B

C

D

E

F

G

H

I

L

M

N

O

P

Q

R

S

T

V

Email to Firms
Upcoming Board Meeting
The FINRA Board of Governors meets this week in New York for the final time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
December 10, 2018
Guidance
2018 Report on FINRA Examination Findings
FINRA’s examination, surveillance and risk monitoring programs play a central role in supporting FINRA’s mission of investor protection and market integrity.
December 07, 2018
Podcast
Insider Trading: Finding the Needle in the Haystack
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 in the Office of Fraud Detection and Market Intelligence group do. Learn how in this episode of FINRA Unscripted.
December 04, 2018
Report / Study
2018 Report on Selected Cybersecurity Practices

This report continues FINRA’s efforts to share information that can help brokerdealer firms further develop their cybersecurity programs. Firms routinely identify cybersecurity as one of their primary operational risks. Similarly, FINRA continues to see problematic cybersecurity practices in its examination and risk monitoring program. This report presents FINRA’s observations regarding effective practices that firms have implemented to address selected cybersecurity risks while recognizing that there is no one-size-fits-all approach to cybersecurity.

December 01, 2018
Podcast
Millennials and Money: How to Get Started on the Road to Investing
Contrary to popular belief, many millennials aren’t too keen on robo-advisors and would actually prefer to work with a professional—but don’t feel confident enough to know where to begin. In this episode, Gerri Walsh and Gary Mottola of the FINRA Foundation rejoin us to turn some of the myths from “Uncertain Futures: Seven Myths about Millennials and Investing” into actionable information.
November 20, 2018
Guidance
Summary of Additional Observation
November 14, 2018
Podcast
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views.
November 06, 2018
Podcast
Cybersecurity Awareness Month: Stay Connected and Protected
In an era when much of our lives happen online, cybersecurity is more important than ever. But what do you do to protect your personal information? We all have a role to play in keeping ourselves secure. This National Cybersecurity Awareness Month, tune in to learn more about how you can keep yourself, your family and your clients safe online.
October 23, 2018
A Few Minutes With FINRA
A Few Minutes With FINRA: Creating a Single, Unified Examination Program
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, talks with Bari Havlik, FINRA’s Executive Vice President of Member Supervision, about the recent decision to consolidate FINRA’s examination and risk monitoring programs. The discussion includes an overview of how FINRA plans to integrate three separate programs into a single, unified program to drive more effective oversight, reduce duplication and create a single point of accountability for the examination of firms. (6 min. 42 sec.)
October 10, 2018
Podcast
Debunked: 7 Myths about Millennials—the Underinvested Generation
Millennials are on the cusp of surpassing Baby Boomers as the largest adult generation in America, yet they remain substantially under-invested. The FINRA Foundation and CFA Institute teamed up to investigate why. Today, Gerri Walsh and Gary Mottola join us to discuss their recent report, "Uncertain Futures: Seven Myths about Millennials and Investing," and uncover the misconceptions and roadblocks millennials face in their path to becoming investors.
October 09, 2018
About FINRA
September 2018 Board Update
Watch the video report featuring highlights from the September 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
October 05, 2018
Exemptive Letter
Mr. Patrick Basilice, Chief Compliance Officer, Euronext Synapse LLC
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
October 01, 2018
Get Involved
Upcoming Board Meeting
The FINRA Board of Governors meets this week in New York. Read President and CEO Robert Cook’s email to firms previewing the agenda.
September 25, 2018
Podcast
The New SIE Exam: Opening Doors to the Securities Industry
Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don’t have to be associated with a financial firm to take it!
September 25, 2018
Guidance
New and Pending Member Firms: Filing Communications with the Advertising Regulation Department
New member firms must file certain retail communications prior to first use with FINRA’s Advertising Regulation Department. A retail communication, as defined in FINRA Rule 2210, means any written (including electronic) communication that is distributed or made available to more than 25 retail investors within any 30 calendar-day period.
September 17, 2018
FAQ
Frequently Asked Questions (FAQ) about the Trade Reporting and Compliance Engine (TRACE)
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
September 14, 2018
Podcast
Sharing Data and Strengthening Compliance
In episode 13, we sat down with Tom Gira and learned how his team use machine learning to sift through billions of market events each day to detect misconduct. But FINRA isn’t just keeping that data for itself, it is sharing it with financial firms to strengthen regulatory compliance across the industry. Today, Gira joins us once again to share how his team is using the data to foster fairer markets.
September 11, 2018
Guidance
Technology Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry

Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.

September 10, 2018
Podcast
How FINRA Rules Get Made (And Reviewed)
An economist and a lawyer walk into a room. This isn’t the start of a bad joke, it’s an integral part of FINRA’s rule making process. At FINRA, economists and lawyers work closely together to ensure that FINRA’s rules are as effective and as tailored as possible. In this episode, Phil Shaikun from FINRA’s Office of General Counsel, and Jonathan Sokobin, FINRA’s Chief Economist, explain how the process works.
August 28, 2018
Podcast
Fintech, Regtech & Suptech: Keeping Up with Industry Innovations
How are financial regulators keeping up with the newest fintech developments and predicting their impact on the financial industry? Last year, FINRA launched the Innovation Outreach Initiative to address this very issues. In this episode, Haime Workie and Kavita Jain talk about the initiative itself and share their insights on the fintech innovations that are driving market activity around the world.
August 14, 2018
Report / Study
2018 FINRA Industry Snapshot

The Financial Industry Regulatory Authority (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 for the first time is sharing an annual snapshot of some of the data collected in the course of its work.

August 09, 2018
Compliance Tools
Small Firms Information
FINRA has created this page to provide information for the small firm community—those firms with 150 or fewer registered representatives. This page contains current and past communications, links of interest to small firms, and other information.
August 01, 2018
Podcast
Enforcement Guiding Principles
What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. In this episode, Susan rejoins us to discuss how getting back to basics is helping her build a more effective Enforcement team.
July 31, 2018
Compliance Tools
FINRA Small Firm Helpline

A resource where small broker-dealer firms can get help navigating FINRA’s systems and resources.

Call (833) 26-FINRA (833-263-4672)
Monday – Friday
9 a.m. – 6 p.m. Eastern Time

As part of our ongoing efforts to provide support for small firms, and in response to the FINRA Special Notice on Engagement and FINRA360, FINRA developed the Small Firm Helpline to assist broker-dealers that need general help navigating FINRA’s systems and resources.

July 30, 2018
Podcast
How the Cloud has Revolutionized FINRA Technology
FINRA now has more than 30 petabytes of data in the cloud—to put that into the context of MP3 music files that would be about 60 million years of easy listening. In this episode, FINRA’s Chief Information Officer Steve Randich joins us to discuss how the use of the cloud has fundamentally changed FINRA’s technology strategy.
July 30, 2018