Guidance

Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings

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

FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports

FINRA Issues Guidance on Master and Sub-Account Arrangements

Guidance on FAS 167 for FOCUS Reporting

FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)

Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form

Guidance on Blogs and Social Networking Web Sites

FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities

FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes

FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other assets from customer accounts.

FINRA’s Enforcement Department is conducting an inquiry with respect to forex trading.

In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.

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

FINRA Provides Guidance on Pandemic Preparedness

New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative

FINRA Reminds Alternative Trading Systems of Their Reporting Obligations

FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities

Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Effective Date: July 15, 2009

FINRA Recommends Review of Municipal Securities Activities

FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds

Exemptive relief is granted based on: the representation that at the time of the contribution the individual was not an MFP (as defined); the firm already has a significant business relationship with the governmental entities of which the contribution recipients were considered to be issuer officials; the firm has instituted information barriers on certain municipal business communications; the individual involved will be prohibited from the solicitation of certain new municipal business for a period of time.

FINRA is reviewing transactions with retail customers of certain fixed income products known as “Gas Bonds.”