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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Interpretive Letter
NASD Rule 11190 - Reconfirmation and Pricing Service Participants
June 09, 2010
Guidance
New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests
June 09, 2010
Interpretive Letter
Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.
May 21, 2010
Notice
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
April 20, 2010
Guidance
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
April 15, 2010
Guidance
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
April 08, 2010
Guidance
FINRA Issues Guidance on Master and Sub-Account Arrangements
April 06, 2010
Interpretive Letter
FINRA Rules 7410-7470 (OATS)
March 26, 2010
Guidance
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
February 12, 2010
Guidance
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
February 10, 2010
Notice
FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
January 21, 2010
Notice
FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
December 17, 2009
Notice
FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other
assets from customer accounts.
November 13, 2009
Guidance
FINRA’s Enforcement Department is conducting an inquiry with respect to forex trading.
November 01, 2009
Report / Study
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.
October 26, 2009
Notice
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
October 23, 2009
Notice
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
August 06, 2009
Guidance
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
August 05, 2009
Notice
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
July 30, 2009
Guidance
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
July 15, 2009
Guidance
FINRA Recommends Review of Municipal Securities Activities
June 30, 2009
Notice
FINRA Reminds Firms of Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
June 11, 2009