Key Topics - A to Z
A
- Account Statements
- Active Duty Military Leave
- Adjudication & Decisions
- Advertising Regulation
- Advisory Committees
- Algorithmic Trading
- Alternative Display Facility (ADF)
- Annual Audit
- Annual Regulatory and Examination Priorities Letter
- Annual Reports
- Annuities and Insurance
- Anti-Money Laundering
- Arbitration & Mediation
- Asset-Backed Securities / Securitized Products
- Automated Data Delivery System (FINRA ADDS)
B
- Blue Sheets
- Blockchain
- Board of Governors
- Bonds, See Fixed Income
- Books & Records
- Branch Office Registration Information
- Breakpoints
- Broker Compensation
- Broker Dealer Firms We Regulate
- Broker-Dealer Name Guidelines
- Broker-Dealer Recruitment Disclosures
- Broker-Dealer Registration
- Business Continuity Planning
C
- Candidates Seeking Waivers
- Candidates Seeking Special Accommodations
- Candidates with Limited English Proficiency (LEP)
- Capital Acquisition Brokers
- Careers
- Certified Regulatory and Compliance Professional™ (CRCP™) program at Wharton University
- Comment Letters
- Commodities and Futures
- Communications to Firms
- Complex Products
- Compliance Calendar
- Compliance Tools
- Compliance Vendor Directory
- Conference and Events
- Conflicts of Interest
- Consolidated Audit Trail (CAT)
- Contact FINRA
- Content Licensing
- Continuing Education
- Corporate Financing
- CRD Public Records Validation Initiative
- Cross Market and Cross Product Manipulation
- Customer Account Transfers
- Customer Accounts
- Customer Information Protection
- Customer Margin Balance Reporting
- Customer Orders
- Cybersecurity
D
- Data Quality and Governance
- Day Trading
- Decimalization
- Derivatives and Other Off-Balance Sheet Items Schedule (OBS)
- Direct Participation Programs (DPPs)
- Disciplinary Actions Online Database
- Disclosure Inquiry Letter Tracking Frequently Asked Questions (FAQ)
- Dispute Resolution
- Distribution Manager
- Diversity at FINRA
- Duplicate Disclosure Interpretive Guidance
E
- E-Bill
- eFOCUS
- Elections, Board and Committee
- Enforcement
- English as a Second Language
- Entitlement Program
- Exam Candidates Requiring Special Accommodations
- Exchange Traded Funds
- Executives
- Exemptive Letters
F
- Fees (disambiguation)
- Fees and Payment Options
- Fees, Qualification Exam
- Fines
- Fines Policy
- Fingerprints
- FINRA Contact System
- FINRA Institute at Wharton
- FINRA360
- FinTech
- Firm Clearing Arrangements Filing
- Firm Gateway
- Firm Registration
- Fixed Income
- Follow FINRA
- For Candidates
- For Registered Reps
- Form 211 Filings
- Form BD
- Form BDW
- Form BR
- Form NMA
- Form U4
- Form U5
- Form U6
- Forms, Registration
- Frequently Asked Questions (All of them)
- Funding and Liquidity
- Funding Portal Registration
- Funding Portals We Regulate
G
- Get Involved
- Gifts and Gratuities
- Governance
H
- Hurricane Relief for Member Firms
- Hurricane Scams and Frauds
I
- In the Media
- Information and Testimony Requests
- INSITE
- Internal Audit
- Internal Controls
- Internships
- Interpretations of Financial and Operational Rules
- Interpretations of FINRA’s Margin Rule
- Interpretive Letters
L
- Late Disclosure Fee
- Leveraged and Inverse ETFs
- Limited English Proficiency
- Locations
M
- Margin Account Requirements
- Market Access
- Market Data
- Market Regulation
- Mark-ups / Mark-downs
- Materiality Consultation Process for Continuing Membership Applications
- MCDC Initiative (Applications Received)
- Member Application Program
- Member Regulation
- Mergers, Acquisitions & Business Transfers
- Monthly and Quarterly Disciplinary Actions
- Municipal Advisor Regulation
- Municipal Securities
- Mutual Funds
N
- National Adjudicatory Council
- National Market System (NMS) Plans
- Natural Disaster Regulatory Relief
- New Account Process / Client Onboarding
- News Releases
- Non-Traditional ETFs Frequently Asked Questions
O
- OFAC Search Tool
- Office of Fraud Detection and Market Intelligence
- Office of Hearing Officers (OHO)
- Office of the Chief Economist
- Office of the Ombudsman
- Online Learning
- Operating & Holiday Schedule
- Order Audit Trail System (OATS)
- Order Handling
- Order Marking
- Order Printed Publications
- Order Routing Practices and Best Execution
- OTC (ATS & Non-ATS) Transparency
- OTC Bulletin Board (OTCBB)
- Over-the-Counter Reporting Facility (ORF)
P
- Paying for College
- Podcasts, for Investors
- Podcasts, for Industry
- Private Placements
- Public Disclosure Program
- Public Offerings
Q
- Qualification Exams
R
- Records, See Books and Records
- Reg SHO
- Regulation M
- Regulation NMS
- Regulation T Filings
- Regulatory & Compliance Alerts
- Regulatory Filing Due Dates
- Regulatory Notices
- Regulatory Notifications
- Regulatory Services
- REITS
- Report Center
- Reports & Studies
- Request Manager
- Requests for Comments
- Research Analyst Rules
- Risk Control Assessment Survey
- Rule 2080 (Formerly NASD Rule 2130)
- Rule 3210 (FAQ)
- Rule 4311(h)(2)
- Rule 4530
- Rule 4530 – CRD Form U4
- Rule Filings
- Rule Filings Status Report
- Rulemaking Consolidation
- Rulemaking Process
S
- Sanction Guidelines
- SEC Rule 605
- SEC’s July 2013 Financial Responsibility Rule Amendments
- Secure File Transfer
- Security Futures
- Senior Help Line
- Senior Investors
- Series 11 - Assistant Representative - Order Processing Exam (AR)
- Series 14 - Compliance Official Exam (CO)
- Series 16 - Supervisory Analysts Exam (SA)
- Series 17 - United Kingdom Securities Representative Exam (IE)
- Series 22 - Direct Participation Programs Representative Exam (DR)
- Series 23 - General Securities Principal Exam - Sales Supervisor (GP)
- Series 24 - General Securities Principal Exam (GP)
- Series 26 - Investment Company and Variable Contracts Products Principal Exam (IP)
- Series 27 - Financial and Operations Principal Exam (FN)
- Series 28 - Introducing Broker-Dealer Financial and Operations Principal Exam (FI)
- Series 3 - National Commodities Futures Examination
- Series 30 - NFA Branch Manager Examination (formerly, Branch Managers Examination – Futures)
- Series 31 - Futures Managed Funds Examination
- Series 32 - Limited Futures Examination - Regulations
- Series 34 - Retail Off-Exchange Forex Examination
- Series 37 - Canada Securities Representative Exam - With Options (CD)
- Series 38 - Canada Securities Representative Exam - No Options (CN)
- Series 39 - Direct Participation Programs Principal Exam (DP)
- Series 4 - Registered Options Principal Exam (OP)
- Series 42 - Registered Options Representative Exam (OR)
- Series 50 - Municipal Advisor Representative Examination
- Series 51 - Municipal Fund Securities Limited Principal Examination
- Series 52 - Municipal Securities Representative Examination (MR)
- Series 53 - Municipal Securities Principal Examination (MP)
- Series 57 - Securities Trader Representative Exam (TD)
- Series 6 - Investment Company and Variable Contracts Products Representative Exam (IR)
- Series 62 - Corporate Securities Representative Exam (CS)
- Series 63 - Uniform Securities Agent State Law Examination
- Series 65 - Uniform Investment Adviser Law Examination
- Series 66 - Uniform Combined State Law Examination
- Series 7 - General Securities Representative Exam (GS)
- Series 72 - Government Securities Representative Exam (RG)
- Series 79 - Investment Banking Representative Exam (IB)
- Series 82 - Private Securities Offerings Representative Exam (PR)
- Series 9 and 10 - General Securities Sales Supervisor Examination
- Series 99 - Operations Professional Exam (OS)
- Short Interest Reporting
- SIE Exam
- Small Firms
- Social Media and Communications with the Public
- Social Media (see Follow FINRA)
- Special Accommodations
- Speeches and Testimony
- Standing Committees
- Statistics and Data
- Subordination Agreements
- Subscriptions
- Suitability
- Supervision
- Supplemental Statement of Income (SSOI)
T
- Targeted Examination Letters
- Technology
- Telemarketing
- Test Enrollment Scheduling System
- Testimony, Speeches and
- Tick Size Pilot Program
- TRACE for Treasuries
- Trade Reporting and Compliance Engine (TRACE)
- Trade Reporting Facility (TRF)
- Trade Reporting FAQ
- Trading Activity Fee
- Transparency Services
U
- Uniform Practice Code (UPC)
V
- Variable Annuities
W
- Web CRD
- Webinars
- Whistleblower Tip Line