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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
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
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
October 14, 2011
Guidance
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
September 29, 2011
Guidance
Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
September 16, 2011
Notice
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
September 12, 2011
Notice
Guidance on Social Networking Websites and Business Communications
August 18, 2011
Guidance
Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
August 08, 2011
Notice
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
July 29, 2011
Notice
FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
July 27, 2011
Guidance
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
July 18, 2011
Exemptive Letter
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official 9as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.
June 27, 2011
Guidance
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
June 27, 2011