Guidance

Podcast
Cybersecurity Awareness Month: Stay Connected and Protected
October 23, 2018
A Few Minutes With FINRA
A Few Minutes With FINRA: Creating a Single, Unified Examination Program
October 10, 2018
Podcast
Debunked: 7 Myths about Millennials—the Underinvested Generation
October 09, 2018
About FINRA
September 2018 Board Update
October 05, 2018
Exemptive Letter
Mr. Patrick Basilice, Chief Compliance Officer, Euronext Synapse LLC
October 01, 2018
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
A Few Minutes With FINRA
A Few Minutes with FINRA: Small Firm Advisory Committee
September 12, 2018
Podcast
Sharing Data and Strengthening Compliance
September 11, 2018
Guidance
Technology Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry
September 10, 2018
Podcast
How FINRA Rules Get Made (And Reviewed)
August 28, 2018
Conference Call
Small Firm Report – July 23, 2018 Audio Recording
August 20, 2018
FAQ
SIE Exam and Exam Restructuring Frequently Asked Questions (FAQs)
August 15, 2018
Podcast
Fintech, Regtech & Suptech: Keeping Up with Industry Innovations
August 14, 2018
Report / Study
2018 FINRA Industry Snapshot
August 09, 2018
Podcast
Enforcement Guiding Principles
July 31, 2018
Compliance Tools
FINRA Small Firm Helpline
July 30, 2018
Podcast
How the Cloud has Revolutionized FINRA Technology
July 30, 2018
Compliance Tools
Anti-Money Laundering (AML) Template for Small Firms
July 18, 2018
Podcast
How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance
July 16, 2018
Podcast
What is FINRA’s Dispute Resolution forum?
June 19, 2018
A Few Minutes With FINRA
A Few Minutes with FINRA: Exam Restructuring + the SIE Exam
June 06, 2018
Podcast
ERI: Introducing FINRA’s Weatherman
June 05, 2018
Guidance
Phone-In Workshop and WebEx Presentation Recording: Markup/Markdown Analysis Report
May 23, 2018