Guidance

Report / Study
Protecting Senior Investors 2015-2020
April 30, 2020
Protecting Senior Investors 2015-2020
FINRA Senior Exploitation Rules
April 30, 2020
Protecting Senior Investors 2015-2020
The Helpline in Action
April 30, 2020
Podcast
Market Structure & COVID-19: Handling Increased Volatility and Volumes
April 28, 2020
Protecting Senior Investors 2015-2020
Effective Practices from Firms' Senior Investor Protection Programs
April 22, 2020
FAQ
FINRA Gateway Frequently Asked Questions
April 15, 2020
Podcast
Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection
April 14, 2020
Guidance
FINRA Highlights Firm Practices from Regulation Best Interest Preparedness Reviews
April 08, 2020
Podcast
Business in the Time of COVID-19: BCPs, Regulatory Relief & More
March 31, 2020
Guidance
SEC Guidance and Resources Relevant to Member Firms
March 27, 2020
FAQ
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
March 24, 2020
Guidance
Termination of SEC Temporary Exemptive Relief from Fingerprinting Requirements for, Among Others, Members and All of Their Associated Persons; Termination of Additional Temporary Extension of Time for Fingerprinting Under FINRA Rules
March 24, 2020
Guidance
Regulatory Operations Update
March 23, 2020
Guidance
Coronavirus Impact on FINRA-Administered Exams
March 23, 2020
Board of Governors Meeting
March 2020 Board Update
March 18, 2020
Podcast
The MAP Group: Gatekeeper to the Broker-Dealer Industry
March 17, 2020
Podcast
FINRA & CE Council: Enhancing Industry Continuing Education
March 03, 2020
Guidance
Targeted Examination Letter on Zero Commissions
February 20, 2020
Podcast
Advertising Regulation: Expect More Than Just Hype
February 18, 2020
Podcast
Encore | Insider Trading: Finding the Needle in the Haystack
February 04, 2020
Podcast
What Fees?: A Look at American Investor Knowledge
January 21, 2020
Annual Regulatory and Examination Priorities Letters
2020 Risk Monitoring and Examination Priorities Letter
January 09, 2020
Podcast
What to Expect: The 2020 Exam and Risk Monitoring Program
January 07, 2020
Board of Governors Meeting
December 2019 Board Update
December 13, 2019
Podcast
A Career Highlight: Exam and Risk Monitoring Program Transformation Update
December 10, 2019