Guidance
We offer guidance to firms in the form of podcasts, webinars, FAQs, reports, and more. Use the toggle below to find guidance by topic, type or date.
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Podcast
Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process.
March 05, 2019
FAQ
FINRA is providing these Frequently Asked Questions about its 529 Plan Share Class Initiative (the “Initiative”) in response to a number of inquiries it has received from firms and trade associations. In order to allow firms sufficient time to consider the additional information provided here and to provide firms more time to review their supervisory systems and procedures with respect to 529 plan sales, FINRA is extending the due dates set forth in Regulatory Notice 19-04.
March 05, 2019
A Few Minutes With FINRA
In a follow up to a recent episode of A Few Minutes With FINRA, FINRA Executive Vice President of Enforcement Susan Schroeder answers questions FINRA has received from firms in response to its 529 Plan Share Class Initiative. (11 min. 58 sec.)
February 27, 2019
Podcast
Looking to give your career a shot of the arm? Want understand not just the current regulatory landscape, but also the regulatory trajectory and where things are going? Tune into this episode of FINRA Unscripted to learn what makes the FINRA Institute at Georgetown CRCP program a can’t-miss opportunity.
February 19, 2019
Guidance
Effective Feb. 3, 2020, FIX will be the only protocol supported for reporting trades to FINRA's TRACE and ORF platforms.
February 13, 2019
Podcast
RegTech tools can present both tremendous opportunities and tremendous challenges for firms and regulators alike. They can also pose some interesting philosophical questions when it comes to their implementation. On this episode, we hear three unique perspectives on these opportunities and challenges from regulators from the U.K., the states and FINRA
February 05, 2019
Interpretive Letter
A member firm may include pre-inception index performance data in institutional communications concerning registered open-end investment companies, subject to the stated conditions discussed in the letter.
January 31, 2019
A Few Minutes With FINRA
Chip Jones and Susan Schroeder discuss the 529 Plan Share Class Initiative. Under the program, firms can self-report to FINRA by April 1, 2019, supervisory violations related to 529 plan share-class recommendations and include a plan to remediate the issue; and in response, FINRA Enforcement will recommend that FINRA accept a settlement that includes restitution for the impact on affected customers and a censure, but no fine. (7 min. 33 sec.)
January 28, 2019
Podcast
The Annual FINRA Priorities Letter is a great resource for firms looking to improve their compliance, supervisory and risk management programs. But the 2019 Letter is a little different. Tune into this episode of FINRA Unscripted to learn more about the changes to the letter and to drill into a few key topics.
January 22, 2019
Podcast
Academics, economists, CEOs. FINRA’s Board of Governors is made up of a diverse group of individuals with diverse perspectives—a must for a group responsible for overseeing a complex organization such as FINRA. Learn more about the composition and responsibilities of the Board of Governors on this episode of FINRA Unscripted.
January 08, 2019
Board of Governors Meeting
Watch the video report featuring highlights from the December 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
December 21, 2018
A Few Minutes With FINRA
FINRA’s Senior Vice President of Member Relations and Education Chip Jones, leads a discussion with Chief Information Security Officer John Brady, Senior Director Steve Polansky and Kansas City Surveillance Director Dave Kelley, on FINRA’s 2018 report on selected cybersecurity practices. The discussion includes an overview of the report, which highlights effective practices in five challenging areas that firms should consider to strengthen and further develop their cybersecurity programs—as well as core cybersecurity controls for small firms. (30 min. 17 sec.)
December 20, 2018
Podcast
Cybersecurity is a major challenge for everyone – but it can be a particularly big challenge for those in the financial industry. That’s why FINRA released a new report highlighting effective cybersecurity practices for FINRA member firms. Learn more in this episode of FINRA Unscripted.
December 20, 2018
Email to Firms
The FINRA Board of Governors meets this week in New York for the final time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
December 10, 2018
Podcast
More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team in the Office of Fraud Detection and Market Intelligence group do. Learn how in this episode of FINRA Unscripted.
December 04, 2018
Report / Study
This report continues FINRA’s efforts to share information that can help brokerdealer firms further develop their cybersecurity programs. Firms routinely identify cybersecurity as one of their primary operational risks. Similarly, FINRA continues to see problematic cybersecurity practices in its examination and risk monitoring program. This report presents FINRA’s observations regarding effective practices that firms have implemented to address selected cybersecurity risks while recognizing that there is no one-size-fits-all approach to cybersecurity.
December 01, 2018
Podcast
Contrary to popular belief, many millennials aren’t too keen on robo-advisors and would actually prefer to work with a professional—but don’t feel confident enough to know where to begin. In this episode, Gerri Walsh and Gary Mottola of the FINRA Foundation rejoin us to turn some of the myths from “Uncertain Futures: Seven Myths about Millennials and Investing” into actionable information.
November 20, 2018
Guidance
November 14, 2018
Podcast
When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views.
November 06, 2018
Podcast
In an era when much of our lives happen online, cybersecurity is more important than ever. But what do you do to protect your personal information? We all have a role to play in keeping ourselves secure. This National Cybersecurity Awareness Month, tune in to learn more about how you can keep yourself, your family and your clients safe online.
October 23, 2018
A Few Minutes With FINRA
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, talks with Bari Havlik, FINRA’s Executive Vice President of Member Supervision, about the recent decision to consolidate FINRA’s examination and risk monitoring programs. The discussion includes an overview of how FINRA plans to integrate three separate programs into a single, unified program to drive more effective oversight, reduce duplication and create a single point of accountability for the examination of firms. (6 min. 42 sec.)
October 10, 2018
Podcast
Millennials are on the cusp of surpassing Baby Boomers as the largest adult generation in America, yet they remain substantially under-invested. The FINRA Foundation and CFA Institute teamed up to investigate why. Today, Gerri Walsh and Gary Mottola join us to discuss their recent report, "Uncertain Futures: Seven Myths about Millennials and Investing," and uncover the misconceptions and roadblocks millennials face in their path to becoming investors.
October 09, 2018
About FINRA
Watch the video report featuring highlights from the September 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
October 05, 2018
Exemptive Letter
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
October 01, 2018
Podcast
Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don’t have to be associated with a financial firm to take it!
September 25, 2018