Protecting Investors from Misconduct - Guidance

Resources for Rules Concerning Brokers with a Significant History of Misconduct

• Regulatory Notice 21-09
• Mapping of Disclosure Categories for Rule 1017(a)(7)
• Materiality Consultation Checklist for Rule 1017(a)(7)
• FINRA Taping Rule (FINRA Rule 3170)
• General Information on Statutory Disqualification and FINRA’s Eligibility Proceedings
• Interim Plans of Heightened Supervision FAQs
• Sample Interim Plan of Heightened Supervision

Resources for Rules Concerning Firms with a Significant History of Misconduct

• Regulatory Notice 21-34
• Information Notice 2/1/2022
• Rule 4111 Frequently Asked Questions
• Mapping of Disclosure Categories for Rule 4111
• Rule 4111 Compliance Tool Glossary
• Virtual demonstration of the Rule 4111 Compliance Tool