Skip to main content

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
Guidance
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
December 27, 2012
Interpretive Letter
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.
December 21, 2012
Guidance
Guidance on FINRA’s Suitability Rule
December 10, 2012
Guidance
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
December 07, 2012
Notice
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
December 03, 2012
Interpretive Letter

NASD IM-2420-2 - Continuing Commissions Policy

November 27, 2012
Exemptive Letter
Exemptive Letter to Christopher M. Wells, Proskauer Rose LLP
November 02, 2012
Targeted Examination Letter
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.
November 01, 2012
Guidance
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
October 31, 2012
Guidance
Guidance to Members Affected by Hurricane Sandy
October 30, 2012
Notice
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
October 19, 2012
Guidance
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
October 01, 2012
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). As part of this review, TEU is requesting the following information.
September 01, 2012
FAQ
Supplemental Statement of Income (SSOI) Frequently Asked Questions
August 29, 2012
Guidance
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
July 18, 2012
Targeted Examination Letter
FINRA is reviewing how firms identify and manage conflicts of interest. As part of this review, we would like to meet with executive business and compliance staff of your firm to discuss the firm’s approach to conflict identification and mitigation.
July 01, 2012
Guidance
Additional Guidance on FINRA’s New Suitability Rule
May 18, 2012
Notice
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
May 15, 2012
Notice
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
April 13, 2012
Exemptive Letter
Exemptive Letter to Michael R. Modeski, OTC Link LLC
March 01, 2012
Guidance
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
February 10, 2012
Notice
Heightened Supervision of Complex Products
January 17, 2012
Guidance
FINRA and ISG Enhance Electronic Blue Sheet Submissions
December 13, 2011
Guidance
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
November 30, 2011
Guidance
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
November 11, 2011