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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Guidance
Interpretations of Rule 4210
The interpretations offer guidance to assist firms in complying with FINRA Rule 4210.
Guidance
Firm Identity Protection
FINRA has created this page to educate member firms on “Firm Identity Theft”.
FAQ
Frequently Asked Questions about OATS Phase III
OATS Phase III Frequently Asked Questions
FAQ
Frequently Asked Questions about Transactions in CRD
Understanding Your FINRA Flex-Funding Account
2019 Exam Findings Report
Uniform Transfers to Minors Act (UTMA) and Uniform Grants to Minors Act (UGMA) Accounts

Regulatory Obligations

FINRA Rule 2090 (Know Your Customer) requires member firms and their associated persons to use reasonable diligence to determine the “essential facts” about every customer and “the authority of each person acting on behalf of such customer.” Regulatory Notice 11-02 (SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations) advised that firms verify the essential facts about a customer “at intervals reasonably cal

Compliance Tools
Municipal Primary Offering Disclosure Report

The Municipal Primary Offering Disclosure Report displays statistics about transactions your firm effected with customers during the securities’ Primary Offering Disclosure Period. This report is designed to aid firms in monitoring their compliance with Rule G-32(a) customer disclosure requirements, which apply to all broker-dealers selling offered municipal securities.

FAQ
Membership Application Program Group (MAP) Frequently Asked Questions
Prospective FINRA member firms must seek approval for new FINRA membership through the submission of a New Membership Application (NMA or Form NMA) in accordance with FINRA Rule 1013 (New Member Application and Interview). Existing FINRA member firms that are contemplating a material change in ownership, control, or business operations must submit a Continuing Membership Application (CMA or Form CMA) in accordance with FINRA Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations). Both types of applications are reviewed by FINRA’s Membership Application Program (MAP) Group.
Compliance Tools
Trade Reporting and Compliance Engine (TRACE) Report Cards
These monthly reports cover trades of Treasuries, Securitized Products, Agency Bonds, and Corporate Debt that a member firm reported to the Trade Reporting and Compliance Engine (TRACE).