Guidance

FAQ
Frequently Asked Questions about Expungement of Customer Dispute Information Under Rules 12800, 12805 and 13805
October 12, 2023
FAQ
Frequently Asked Questions about FINRA Rule 2080 (Expungement)
October 12, 2023
Media Center
Optimizing Efficiencies: An Update to FINRA’s MAP Transformation
October 03, 2023
Guidance
FINRA Provides Update on Sweep: Special Purpose Acquisition Companies (SPACs)
October 02, 2023
Arbitration and Mediation
The Neutral Corner - Volume 3—2023
September 29, 2023
Guidance
FINRA Cybersecurity Advisory - SEC Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (Exchange Act Release No. 97989)
September 21, 2023
Media Center
FINRA’s Blockchain Lab: Regulation and Innovation For The Future
September 19, 2023
Media Center
A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
September 05, 2023
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of Joint CISA & FBI Cybersecurity Advisory (AA23-242A)
August 31, 2023
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of FBI Flash (AC-000172-TT)
August 28, 2023
Guidance
Regulatory Notice 23-12
August 11, 2023
Media Center
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
August 08, 2023
Media Center
Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process
July 25, 2023
Board of Governors Meeting
July 2023 Board Update
July 19, 2023
Media Center
Gen Z Investors: A Look at the Attitudes and Behaviors of the Youngest Investors
July 11, 2023
Arbitration and Mediation
The Neutral Corner - Volume 2—2023
July 06, 2023
Guidance
Extensions of Time Filing Schedule
June 30, 2023
Guidance
How to File an Extension of Time With FINRA
June 30, 2023
Guidance
Extension Reason Codes
June 30, 2023
Media Center
Preventing Financial Exploitation: Steps for Safeguarding Senior Investors
June 27, 2023
Report / Study
2022 Annual Financial Report
June 23, 2023
Guidance
Cybersecurity Alert: FINRA Notifies Member Firms of CISA Advisory (AA23-158A)
June 16, 2023
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of CISA Advisory (AA23-165A)
June 15, 2023
Media Center
The FINRA Examination Team: The Ins and Outs of FINRA’s Annual Program
June 13, 2023
Guidance
TRACE Foreign Sovereign Debt (Live Nov 6, 2023)
June 01, 2023