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.
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Guidance
Impact: All Firms
Member firms should be aware of heightened cybersecurity risks to their environments amid ongoing geopolitical tensions in the Middle East. Although, as of March 16, 2026, FINRA is not aware of any significant Iran-related cyberattacks against the financial services industry, it is aware of recent reporting indicating that Iranian threat actors are actively targeting U.S. financial institutions and critical infrastructure sectors.
March 16, 2026
Guidance
This resource provides foundational information on GenAI, firm-size considerations related to prompt injection, and definitions of key terms.
March 06, 2026
Media Center
On this episode of FINRA Unscripted, discover how data drives securities oversight at every level, from firm examinations to suspicious trading detection. FINRA leaders discuss evolving approaches to data requests, using technology and collaboration to work smarter, reduce regulatory burden, and strengthen investor protection.
March 03, 2026
Media Center
Financial security means more than wealth: it's about resilience and preparation. On this episode of FINRA Unscripted, FINRA’s Gerri Walsh discusses what financial security looks like in 2026, shares insights from recent investor research, and explains how firms can help protect and empower their customers.
February 03, 2026
Guidance
FINRA firms should be aware of multiple critical vulnerabilities in Gladinet’s CentreStack or TrioFox file sharing and collaboration software applications, which threat actors are actively exploiting to gain unauthorized access and remote control of organizational systems.
January 29, 2026
Guidance
Member firms should be aware of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA employees, with the goal of tricking the recipient into opening an attachment—potentially exposing the firm to malware or stealing login information. These emails are not from FINRA, and firms should delete them and consider blocking the fraudulent domains from which they are being sent.
January 23, 2026
Guidance
Cybersecurity Alert: Two Exim Mail Vulnerabilities Could Allow Unauthorized System and Data Access
January 07, 2026
Media Center
Learn more about the FINRA Investor Education Foundation latest research, Investors in the United States: Results from the FINRA Foundation’s National Financial Capability Study, which offers insights into the attitudes, behaviors, knowledge and experiences of retail investors in the U.S.
January 06, 2026
Arbitration and Mediation
The Neutral Corner – Volume 4—2025
Mission Statement
Managing Witness Testimony in FINRA Arbitration (By Makenzie Holahan, FINRA Case Administrator, East Region)
FINRA Dispute Resolution Services (DRS) and FINRA News
December 31, 2025
Guidance
FINRA firms should be aware of a vulnerability in web applications built with React Server Components (RSC), which could allow unauthorized access to internal systems. Nation-state threat actors are purportedly exploiting this vulnerability to gain access to systems and sensitive files on servers built using RSC. The vulnerability has the potential to allow threat actors to take control of a firm’s entire system if exploited.
December 19, 2025
Report / Study
Within the securities industry, social media plays a prominent role in influencing investor behavior while providing opportunities for new forms of customer engagement and additional sources of data.
December 11, 2025
Guidance
FINRA member firms should be aware of a security incident involving Gainsight, a customer success and customer management platform that integrates with Salesforce CRM. Given the third- and fourth-party risk the incident poses to member firms, FINRA recommends sharing this Cyber Alert with appropriate information technology and information security personnel as well as with any third-party vendors that may also leverage the services of Gainsight.
December 11, 2025
Media Center
On this episode, FINRA leaders discuss the 2026 Regulatory Oversight Report, covering emerging threats from AI and crypto, evolving fraud schemes, cybersecurity risks, effective practices, and more. Learn how firms can leverage the information in the report for strengthened compliance planning.
December 09, 2025
Report / Study
The 2026 FINRA Annual Regulatory Oversight Report provides FINRA member firms with insight into findings from FINRA’s regulatory operations programs.
December 09, 2025
Report / Study
This latest report examines investor behaviors, attitudes, knowledge and experiences, including trends in new investor participation, use of financial influencers, risk tolerance and investor knowledge levels.
December 04, 2025
Media Center
Engagement is a two-way street at FINRA. On this episode of FINRA Unscripted, two regional committee members speak with FINRA's Kayte Toczylowski about how FINRA listens to industry feedback and takes action. Discover how member firms can actively participate in shaping regulation, access valuable resources, and build meaningful relationships.
December 02, 2025
Guidance
FINRA member firms should be aware of a security incident involving SitusAMC, a technology services company that provides solutions to commercial and real estate banks and financiers, many of which serve as vendors to member firms.
November 28, 2025
Media Center
FINRA Forward is transforming cybersecurity defense through collaborative intelligence sharing and more. On this episode of FINRA Unscripted, discover how tabletop exercises and workshops, the Cyber and Operational Resilience program, and the forthcoming Financial Intelligence Fusion Center can help FINRA member firms prevent, prepare for and respond to evolving cyber threats.
November 19, 2025
Guidance
This Cybersecurity Advisory reminds member firms of the upcoming compliance dates for the SEC’s amendments to Regulation S-P, and announces an upcoming FINRA webinar to assist member firms with their preparation for complying with these amendments. As discussed below, the compliance date for some member firms is Dec. 3, 2025.
November 14, 2025
Media Center
In early October, FINRA CEO Robert Cook joined Small Firm Advisory Committee Chair Preston Haxo for a conversation at FINRA’s Small Firm Conference. The two spoke about FINRA Forward, the vital role of the SFAC, the practical ways firms can engage with FINRA, and more. On this episode of FINRA Unscripted, we tune in to that conversation.
November 04, 2025
Guidance
FINRA is conducting a review of firm practices regarding public and private offerings of small-capitalized exchange-listed issuers with business operations in foreign jurisdictions, such as China (collectively “small-cap offerings”). Specifically, FINRA is reviewing certain member firms that have been involved in multiple small-cap offerings as either an underwriter, bookrunner, syndicate member, selling group member or placement agent, as well as certain member firms that have participated in initial and/or secondary market trading related to small-cap offerings, including firms with omnibus accounts trading in these securities.
October 23, 2025
Guidance
FINRA is issuing this advisory to highlight frequently asked questions (FAQs) issued by the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) related to suspicious activity reports (SARs) to assist financial institutions with their compliance obligations.
October 17, 2025
Guidance
Effective October 10, 2025, FINRA members may rely on the Central Registration Depository (CRD®) system to maintain for recordkeeping purposes the Form U4 (Uniform Application for Securities Industry Registration or Transfer) filings that individuals electronically sign through FINRA’s Financial Professional Gateway (FinPro GatewayTM).
October 10, 2025
Guidance
FINRA member firms should be aware of a security incident involving Red Hat Consulting after threat actors breached a self-managed GitLab instance used by its consulting division. The breach exposed sensitive data about Red Hat customers—including configuration data, authentication tokens, infrastructure details and more—that could be abused to breach member firm customer networks.
October 10, 2025
Guidance
FINRA member firms should be aware of a critical vulnerability that affects certain versions of Oracle E-Business Suite, a business management software platform. This Cybersecurity Alert includes a link to an Oracle Advisory that includes a detailed description of the vulnerability as well as recommendations to mitigate it.
October 08, 2025