Guidance

Request for Comment
Section V: The Metaverse and the Implications for the Securities Industry Request for Comments
October 24, 2024
Guidance
Cybersecurity Alert - Ongoing Threats From Iranian Cyber Actors
October 16, 2024
Media Center
The Latest Research: Why Do Targets Engage with Scams?
October 15, 2024
Guidance
Cybersecurity Alert - Ongoing Phishing Campaign Impersonating FINRA Executives
October 09, 2024
Guidance
FINRA Alerts Member Firms of Form BR Functionality Enhancements for Amendment Form BR Submissions and Updated Residential Supervisory Location (RSL) FAQs
October 07, 2024
Guidance
Findings Reporting Categories for Remote Inspection Pilot Participants
October 03, 2024
Media Center
The Victim Experience: When Romance Leads to a Crypto Scam
October 01, 2024
Arbitration and Mediation
The Neutral Corner – Volume 3—2024
September 30, 2024
Board of Governors Meeting
September 2024 Board Meeting Update
September 27, 2024
Board of Governors Meeting
September 2024 Board Meeting
September 17, 2024
Media Center
Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
September 17, 2024
Guidance
New Question on Form U4 to Identify RSLs and Updated Deadline
September 16, 2024
Guidance
Guidance on MAP Considerations for Member Firms Engaging in Succession Planning or Exiting the Broker-Dealer Securities Business
September 11, 2024
Guidance
Cybersecurity Advisory – Increasing Cybersecurity Risks at Third-Party Providers
September 09, 2024
Media Center
FINRA’s Examination Program: Optimizing for the Future
September 03, 2024
Guidance
FINRA Provides Update on Member Firms’ Crypto Asset Activities
August 13, 2024
Media Center
FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets
August 06, 2024
Media Center
An Update on FINRA’s Crypto Asset Work and the Crypto Hub
July 23, 2024
Guidance
Cybersecurity Alert - FINRA Update to Member Firms Regarding CrowdStrike IT Service Disruption
July 19, 2024
Guidance
FINRA Alerts Member Firms of Form BR Functionality Enhancements for Initial Form BR Submissions and Updated Residential Supervisory Location (RSL) FAQs
July 18, 2024
Report / Study
2024 Industry Snapshot
July 18, 2024
Media Center
Financial Intelligence Unit: Connecting FINRA Members with Actionable Information
July 09, 2024
Arbitration and Mediation
The Neutral Corner – Volume 2—2024
June 28, 2024
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of MOVEit Software Vulnerability (CVE-2024-5806)
June 27, 2024
Media Center
Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations
June 25, 2024