Guidance

Video
Get Involved: FINRA Elections, Committees, and Comment Letters
July 24, 2015
Exemptive Letter
Amy Natterson Kroll, Morgan, Lewis & Bockius LLP
July 23, 2015
FAQ
Frequently Asked Questions on FINRA’s Eligibility Proceedings for Firms Participating in the MCDC Initiative
July 09, 2015
Guidance
Resource Page for the SEC’s July 2013 Financial Responsibility Rule Amendments
June 29, 2015
Guidance
Name Not Public
May 21, 2015
Interpretive Letter
Interpretive Letter to Edward P. Macdonald, Hartford Funds Distributors, LLC
May 12, 2015
Guidance
Kevin O’Connor, Picard Kentz & Rowe LLP
May 05, 2015
Training
FINRA E-Learning Site Licenses
April 21, 2015
Report / Study
National Senior Investor Initiative Report
March 15, 2015
Interpretive Letter
Interpretive Letter to Gregory J. Nowak, Pepper Hamilton LLP
February 20, 2015
FAQ
Frequently Asked Questions about ABS Dissemination
February 17, 2015
Guidance
Materiality Consultation
February 12, 2015
Exemptive Letter
Name Not Public
February 11, 2015
Annual Regulatory and Examination Priorities Letters
2015 Regulatory and Examination Priorities Letter
January 06, 2015
Report / Study
Retrospective Rule Review Report: Communications with the Public
December 09, 2014
Report / Study
Retrospective Rule Review Report: Gifts, Gratuities and Non-Cash Compensation
December 09, 2014
Interpretive Letter
Interpretive Letter to Wallace W. Kunzman, Jr., Kunzman & Bollinger, Inc.
December 01, 2014
Guidance
Equity Options Position Limit Rules
October 29, 2014
Guidance
Index Warrants Position & Exercise Limit Rules
October 29, 2014
Guidance
Index Options Position Limit Rules
October 29, 2014
Guidance
FLEX Equity Options Position & Exercise Limit Rules
October 29, 2014
Guidance
Targeted Examination Letter on Order Routing and Execution Quality of Customer Orders
July 01, 2014
Guidance
Regulatory Notice 14-18
April 30, 2014
Interpretive Letter
Interpretive Letter to Russell D. Sacks, Shearman & Sterling LLP
April 28, 2014
Notice
Regulatory Notice 14-17
April 21, 2014