Guidance

Media Center
Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
September 17, 2024
Guidance
New Question on Form U4 to Identify RSLs and Updated Deadline
September 16, 2024
Guidance
Guidance on MAP Considerations for Member Firms Engaging in Succession Planning or Exiting the Broker-Dealer Securities Business
September 11, 2024
Guidance
Cybersecurity Advisory – Increasing Cybersecurity Risks at Third-Party Providers
September 09, 2024
Media Center
FINRA’s Examination Program: Optimizing for the Future
September 03, 2024
Guidance
FINRA Provides Update on Member Firms’ Crypto Asset Activities
August 13, 2024
Media Center
FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets
August 06, 2024
Media Center
An Update on FINRA’s Crypto Asset Work and the Crypto Hub
July 23, 2024
Guidance
Cybersecurity Alert - FINRA Update to Member Firms Regarding CrowdStrike IT Service Disruption
July 19, 2024
Report / Study
2024 Industry Snapshot
July 18, 2024
Guidance
FINRA Alerts Member Firms of Form BR Functionality Enhancements for Initial Form BR Submissions and Updated Residential Supervisory Location (RSL) FAQs
July 18, 2024
Media Center
Financial Intelligence Unit: Connecting FINRA Members with Actionable Information
July 09, 2024
Arbitration and Mediation
The Neutral Corner – Volume 2—2024
June 28, 2024
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of MOVEit Software Vulnerability (CVE-2024-5806)
June 27, 2024
Media Center
Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations
June 25, 2024
Guidance
FINRA Cyber Alert – ONNX Store Purportedly Targeting Firms in Quishing Attacks
June 21, 2024
Guidance
FINRA Alerts Member Firms Not to Close/Withdraw Form BR in any Jurisdiction or With any SRO That has Branch Office Registration/Notice Filing Requirements
June 18, 2024
Guidance
Cybersecurity Advisory – NIST Releases Version 2.0 of its Cybersecurity Framework
June 13, 2024
Media Center
Amendments to FINRA Rule 4210: Covered Agency Transactions
June 11, 2024
Guidance
Cybersecurity Advisory – SEC Amends Regulation S-P Enhancing Protection of Customer Information (Exchange Act Release No. 35193)
June 06, 2024
Media Center
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
May 28, 2024
Media Center
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
May 14, 2024
Guidance
Frequently Asked Questions about Remote Inspections Pilot Program
May 13, 2024
FAQ
Frequently Asked Questions About Advertising Regulation
May 10, 2024
Guidance
Threat Intelligence Product: Protecting Vulnerable Adult and Senior Investors
May 10, 2024