Guidance
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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
Guidance
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
April 17, 2013
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
April 12, 2013
Interpretive Letter
Request for Interpretive Guidance Under NASD Rule 2711
February 08, 2013
Interpretive Letter
NASD Rule 3010(a)(7) - Annual Compliance Meeting
February 05, 2013
FAQ
SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
December 27, 2012
Interpretive Letter
The buy-in requirements under FINRA Rules 11810 and 11870 do not apply for the specified time period to securities identified on the DTC Master List of Inaccessible Certificates, provided that the member firm maintains a detailed record indicating the fail to deliver items related to the physical certificates identified on the DTC Master List of Inaccessible Certificates.
December 21, 2012