Guidance

Podcast
The New SIE Exam: Opening Doors to the Securities Industry
September 25, 2018
Guidance
New and Pending Member Firms: Filing Communications with the Advertising Regulation Department
September 17, 2018
FAQ
Frequently Asked Questions (FAQ) about the Trade Reporting and Compliance Engine (TRACE)
September 14, 2018
Guidance
Technology Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry
September 10, 2018
FAQ
SIE Exam and Exam Restructuring Frequently Asked Questions (FAQs)
August 15, 2018
Report / Study
2018 FINRA Industry Snapshot
August 09, 2018
Compliance Tools
FINRA Small Firm Helpline
July 30, 2018
Compliance Tools
Anti-Money Laundering (AML) Template for Small Firms
July 18, 2018
Guidance
Phone-In Workshop and WebEx Presentation Recording: Markup/Markdown Analysis Report
May 23, 2018
Report / Study
FINRA360 Progress Report
April 24, 2018
Rule Filing
Three-year Anniversary of FINRA Securities Helpline for Seniors Marked by Investor Success
April 20, 2018
Guidance
Regulatory Notice 18-12
April 17, 2018
Guidance
Interpretive letter to Joan E. Boros, Esq., Stradley Ronon Stevens & Young, LLP
April 16, 2018
Guidance
Amy Natterson Kroll, Morgan, Lewis & Bockius LLP
April 16, 2018
Compliance Tools
Options Report Cards
April 11, 2018
Targeted Examination Letter
Targeted Examination Letter on VIX-Linked Product Review
April 09, 2018
Guidance
TRACE Price on Client Confirmations Policy
April 03, 2018
Report / Study
Discussion Paper – FINRA Perspectives on Customer Recovery
February 18, 2018
Get Involved
Small Firm Advisory Board Email: 2017 Year in Review
January 25, 2018
Guidance
Protecting Personal Information in Registration Form Filings
January 11, 2018
Annual Regulatory and Examination Priorities Letters
2018 Regulatory and Examination Priorities Letter
January 08, 2018
Guidance
Interpretive Letter to Lawrence Cohen, Gordon Rees Scully Mansukhani, LLP
December 11, 2017
FAQ
About the FINRA Institute at Georgetown CRCP Program
December 06, 2017
2017 Exam Findings Report
Outside Business Activities and Private Securities Transactions
December 06, 2017
2017 Exam Findings Report
Net Capital and Credit Risk Assessments
December 06, 2017