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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Notice
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
April 11, 2014
Guidance
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
March 25, 2014
Guidance
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
March 24, 2014
Guidance
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
February 07, 2014
Exemptive Letter
Exemptive Letter to Venu Palaparthi, NPM Securities LLC
January 07, 2014
Guidance
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
January 01, 2014
Guidance
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
December 30, 2013
Guidance
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
December 19, 2013
Guidance
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
November 01, 2013
Guidance
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
October 31, 2013
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
October 18, 2013
Report / Study
Conflicts of interest can arise in any relationship where a duty of care or trust exists between two or more parties, and, as a result, are widespread across the financial services industry. While the existence of a conflict does not, per se, imply that harm to one party’s interests will occur, the history of finance is replete with examples of situations where financial institutions did not manage conflicts of interest fairly.
October 14, 2013
Guidance
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
September 25, 2013
Interpretive Letter
Request for Interpretive Guidance on FINRA Rule 2111 (Suitability) in Relation to EB-5 Program Securities Transactions
August 26, 2013
Guidance
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
August 19, 2013
Guidance
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
August 16, 2013
Guidance
FINRA Announces Modifications Regarding Historic TRACE Data
July 22, 2013
Targeted Examination Letter
The Trading Examinations Unit (“TEU”) within the Trading and Market Making Surveillance (“TMMS”) group of the Market Regulation Department at FINRA is conducting a review of the Firm’s controls and processes in connection with the development and use of trading algorithms , as well as controls surrounding automated trading technology.
July 01, 2013
Guidance
FINRA Designates Additional Index Available for Conventional Equity Options Position Limits Calculation
May 28, 2013
Guidance
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
May 02, 2013
Targeted Examination Letter
The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). For the purpose of this inquiry, the term “ATS” means an ATS operated by the Firm and/or any affiliate of the Firm that is utilized to route orders or other messages into or out of the ATS.
May 01, 2013
Interpretive Letter
FINRA Rule 2210 - Communications with the Public
April 22, 2013
Notice
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
April 18, 2013