Guidance

Guidance
Fixed Income Distributions
February 24, 2017
Guidance
Name Not Public
February 09, 2017
Technical Documentation
Short Interest Reporting Video Demonstration
January 17, 2017
Annual Regulatory and Examination Priorities Letters
2017 Regulatory and Examination Priorities Letter
January 04, 2017
Targeted Examination Letter
Targeted Examination Letter on the Review of Cross-Selling Programs
October 26, 2016
FAQ
Frequently Asked Questions about Billing and Collections
October 25, 2016
Compliance Tools
MSRB Report Cards
October 25, 2016
Compliance Tools
Non-FINRA Cybersecurity Resources
October 25, 2016
Compliance Tools
Risk Monitoring Report Cards
October 25, 2016
Guidance
Comment Letters Submitted by FINRA
October 19, 2016
Targeted Examination Letter
Targeted Examination Letter on Unit Investment Trust Rollover Review
September 13, 2016
Compliance Tools
Guidance for Ownership Changes and Asset Transfers
August 24, 2016
FAQ
Frequently Asked Questions Regarding FINRA Rule 2273
August 19, 2016
Guidance
Joshua Hershman, Trumid Financial LLC
August 09, 2016
Targeted Examination Letter
Targeted Examination Letter on Non-Traded Business Development Companies
August 04, 2016
FAQ
Frequently Asked Questions about Derivatives and Other Off-Balance Sheet Items (OBS)
June 16, 2016
Video
Cross Market Equities Supervision: Potential Manipulation Report
June 02, 2016
Guidance
Name Not Public
June 01, 2016
Guidance
Michael McGuire, Tradeweb Direct LLC
May 16, 2016
Guidance
Targeted Examination Letter on Mutual Fund Waivers
May 16, 2016
Guidance
Regulatory Notice 16-10
April 04, 2016
Interpretive Letter
Interpretive Letter to Craig P. Hoffman, Esq., APM, American Retirement Association, Chris DeGrassi, National Tax-deferred Savings Association, and Richard K. Matta, Esq., Groom Law Group
March 22, 2016
Arbitration and Mediation
Frequently Asked Questions about the DR Portal for Arbitrators and Mediators
March 17, 2016
Report / Study
Report on Digital Investment Advice
March 15, 2016
Report / Study
Retrospective Rule Review Report: Membership Application Rules and Processes
March 11, 2016