Guidance
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What is the FINRA CRCP CE System?
The FINRA CRCP® CE System is a web-based portal for Certified Regulatory and Compliance Professional (CRCP)® graduates to self-report their CRCP continuing education (CE) requirements (CRCP graduates who graduated after 2004 are required to complete 12 hours of CRCP CE every three years), maintain and update contact information, and view their CE progress.
The table below provides a reference description for all of the elements found for ATS Cross Manipulation exceptions identified during the month.
The Market Order Timeliness Statistical Report is published monthly based upon firm-reported data detailing the number of customer market orders executed by your firm in NMS securities and classifying these orders based on time duration to execute. Supplementary Material .01 of FINRA Rule 5310 – Best Execution and Interpositioning - states that member firms must make every effort to execute marketable customer orders it receives fully and promptly.
Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding engagement in connection with FINRA's rulemaking process. After carefully reviewing and analyzing the comments, FINRA is taking a number of actions to address the comments and suggestions that it received.
Rulemaking Process
Last Updated: 8/7/2026
FBI Fingerprint Reuse Policy – No Action at This Time
Recently, the FBI notified FINRA that it continues to work on guidance to organizations related to its updated Fingerprint Reuse Policy, that was published in its January 2026 Outsourcing News newsletter, distributed to Authorized Recipients and available here for reference.
The Web CRD Late Filing Fee Report is a monthly analysis of FINRA firms' ability to meet certain filing obligations. In accordance with FINRA rules, firms are required to submit information related to registered representatives. This report displays a firm's performance in submitting certain U4 and U5 filings in the required time frame.
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Description |
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Exceptions Periods |
Date of all listed options position, as reported. |
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Total Number of Exceptions |
Total number of issues reported during the period. |
Large Options Positions Reported (LOPR) - Listed Detail Data
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Term |
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1. Does Rule 5110 apply to public offerings that also are regulated under Rule 2310?
Yes. Rule 2310 regulates the underwriting terms and arrangements of direct participation programs and unlisted real estate investment trusts (collectively, “Investment Programs”) that are publicly offered. All public offerings in which a member participates, with limited exceptions provided in Rule 5110(h), must be filed, including Investment Programs.
Utilize this checklist to determine if a private residence from which an associated person engages in supervisory functions meets the residential supervisory location (RSL) eligibility requirements and conditions.
Background
A large number of registered representatives are also Certified Financial PlannerTM (CFP®) professionals. These professionals must complete a minimum of 30 continuing education (CE) hours every two years as part of the requirements for CFP certification renewal. Through the FINRA360 process, a number of firms expressed a desire for improved opportunities with regard to continuing education credits.
On This Page
General
Q100.1: What is the Trading Activity Fee?
Background
FINRA’s highest priority when it identifies misconduct is to seek restitution for harmed investors. However, like many other self-regulatory organizations in the securities industry, FINRA also imposes fines on its members to discourage further misconduct. Fine amounts are based on public, pre-established guidelines and the facts and circumstances of the individual case. FINRA does not target any minimum amount of fines to be collected.
The Reporting Firm 10 Second Compliance Report Card are monthly status reports for market participant that contain counts of properly modified late trades, late trades that were not modified, and improperly modified trades.
Reporting Firm is defined as the firm that reported the Executing Party of the trade.
- Overview
- How to Request an Addition to the Eligible Multifamily Programs
- Additional Eligible Multifamily Programs
Overview
Rule 4210(e)(2)(H)(ii)a.2. provides that:
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360, its comprehensive review of its operations. In response to the Special Notice, FINRA received a number of comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms. After carefully reviewing and analyzing the comments, FINRA is taking a number of actions to address the comments and suggestions.
In addition to the Small Firm Helpline, FINRA has implemented other programs for small firms: