Guidance

2017 Exam Findings Report
Order Capacity
December 06, 2017
2017 Exam Findings Report
Cybersecurity
December 06, 2017
2017 Exam Findings Report
Product Suitability
December 06, 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
2017 Exam Findings Report
TRACE Reporting
December 06, 2017
Guidance
Highlighted Observations
December 06, 2017
Guidance
Summary of Additional Observations
December 05, 2017
Guidance
Alternative Investments Held in Individual Retirement Accounts (IRAs)
December 01, 2017
Guidance
Regulation SHO
December 01, 2017
Guidance
Best Execution
December 01, 2017
Guidance
Regulatory Notice 17-40
November 21, 2017
Targeted Examination Letter
Targeted Examination Letter on Order Routing Conflicts
November 10, 2017
Training
Education & Training for Advertising Regulation
October 17, 2017
Guidance
What and When to File with Advertising Regulation
September 01, 2017
Arbitration and Mediation
Frequently Asked Questions about Using ADTRAV for Arbitrators
August 31, 2017
Filing and Reporting
TRACE Reporting and Dissemination
July 10, 2017
Guidance
TRACE Reporting of Transactions in U.S. Treasury Securities: Final Installment in Series
June 27, 2017
Webinar
TRACE Reporting of Transactions in U.S. Treasury Securities: Final Installment in Series
June 27, 2017
Interpretive Letter
Interpretive Letter to Clair Pagnano, K&L Gates LLP
June 12, 2017
Guidance
Interpretive Letter to Elliott R. Curzon, Dechert LLP
May 09, 2017
Guidance
TRACE Reporting of Transactions in U.S. Treasury Securities: Demonstration of Forms
May 04, 2017
Guidance
Report on Distributed Ledger Technology: Implications of Blockchain for the Securities Industry
March 31, 2017
FAQ
Frequently Asked Questions about the DR Portal for Arbitration and Mediation Case Participants
March 31, 2017