Guidance

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
Targeted Examination Letter on Mutual Fund Waivers
May 16, 2016
Guidance
Michael McGuire, Tradeweb Direct LLC
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
Guidance
Interpretive Letter to Marc Menchel, Menchel Consulting LLC
February 24, 2016
Targeted Examination Letter
Targeted Examination Letter on Establishing, Communicating and Implementing Cultural Values
February 18, 2016
FAQ
Frequently Asked Questions about FINRA Rule 5131 (New Issue Allocations and Distributions)
January 29, 2016
Guidance
Name Not Public
January 28, 2016
Annual Regulatory and Examination Priorities Letters
2016 Regulatory and Examination Priorities Letter
January 05, 2016
Exemptive Letter
Name Not Public
January 04, 2016
Report / Study
Report on the FINRA Securities Helpline for Seniors™
December 30, 2015
Guidance
Complying with the BrokerCheck Reference and Link Requirements in FINRA Rule 2210
December 17, 2015
Guidance
Name Not Public
December 14, 2015
Guidance
Fixed Income Report Cards Demonstration (On Demand)
November 25, 2015
FAQ
Frequently Asked Questions for Respondents in FINRA Disciplinary Proceedings
September 18, 2015
FAQ
Web EFT Frequently Asked Questions
September 11, 2015
Targeted Examination Letter
Targeted Examination Letter on Conflicts of Interest Review - Compensation and Oversight
August 01, 2015
Video
Small Firm Focus - Get Involved with FINRA Elections, Committees and Comment Letters
July 31, 2015
Guidance
Regulatory Notice 15-27
July 30, 2015