Guidance

The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).

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). As part of this review, TEU is requesting the following information.

FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions

FINRA is reviewing how firms identify and manage conflicts of interest. As part of this review, we would like to meet with executive business and compliance staff of your firm to discuss the firm’s approach to conflict identification and mitigation.

Additional Guidance on FINRA’s New Suitability Rule

FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

Exemptive Letter to Michael R. Modeski, OTC Link LLC

SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA

Heightened Supervision of Complex Products

FINRA and ISG Enhance Electronic Blue Sheet Submissions

FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections

Today in the United States, nearly 40 million people are age 65 and older. This number is expected to more than double to 89 million by 2050.

FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

FINRA Revises the Series 7, 17, 37 and 38 Examination Programs

Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period

FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business

Guidance on Social Networking Websites and Business Communications

Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s

FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices

FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91

Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official 9as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.

FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date

Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)