Guidance

Guidance
Books and Records
January 09, 2024
Guidance
Communications with the Public
January 09, 2024
Guidance
Outside Business Activities and Private Securities Transactions
January 09, 2024
Guidance
FINRA Provides Update on Sweep: Special Purpose Acquisition Companies (SPACs)
October 02, 2023
Guidance
FINRA Provides Update on Sweep: Social Media Influencers, Customer Acquisition and Related Information Protection
February 28, 2023
2021 Report on FINRAs Examination and Risk Monitoring Program
Outside Business Activities and Private Securities Transactions
February 01, 2021
2021 Report on FINRAs Examination and Risk Monitoring Program
Books and Records
February 01, 2021
2021 Report on FINRAs Examination and Risk Monitoring Program
Communications with the Public
February 01, 2021
FAQ
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
March 24, 2020
2019 Exam Findings Report
Supervision
October 16, 2019
2019 Exam Findings Report
Suitability
October 16, 2019
A Few Minutes With FINRA
A Few Minutes With FINRA: 529 Plan Share Class Initiative - Frequently Asked Questions
February 27, 2019
A Few Minutes With FINRA
A Few Minutes With FINRA: 529 Plan Share Class Initiative
January 28, 2019
Targeted Examination Letter
Targeted Examination Letter on VIX-Linked Product Review
April 09, 2018
2017 Exam Findings Report
Outside Business Activities and Private Securities Transactions
December 06, 2017
Interpretive Letter
Interpretive Letter to S. Kendrick Dunn, Pacific Select Distributors, Inc.
February 05, 2013
Guidance
Regulatory Notice 11-54
November 30, 2011
Guidance
Regulatory Notice 11-52
November 11, 2011
Notice
Regulatory Notice 11-39
August 18, 2011
Guidance
Regulatory Notice 10-19
April 08, 2010
Notice
Regulatory Notice 10-06
January 25, 2010
Notice
Regulatory Notice 08-27
May 20, 2008
Notice
Regulatory Notice 08-18
April 08, 2008
Interpretive Letter
Interpretive Letter to Evan Charkes, Citigroup Global Markets, Inc.
November 30, 2006
Interpretive Letter
NASD Office of General Counsel, Regulatory Policy and Oversight
August 15, 2006