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. 

5 A B C D E F G H I L M N O P Q R S T V

5

A

B

C

D

E

F

G

H

I

L

M

N

O

P

Q

R

S

T

V

Podcast
The Journey to the Cloud: Implications for the Securities Industry
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. On this episode, two members of FINRA’s Office of Financial Innovation join us to discuss the group’s latest report on cloud computing.
August 24, 2021
Report / Study
Cloud Computing in the Securities Industry

Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure.

August 16, 2021
Guidance
FINRA Targeted Examination Letter on Option Account Opening, Supervision and Related Areas - UPDATED

August 2021

FINRA is conducting a review of Firm Name practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence. 

August 10, 2021
Podcast
Introducing Stephanie Dumont
In March, Stephanie Dumont became the new Executive Vice President of FINRA’s Market Regulation and Transparency Services department. On this episode, we sit down with Stephanie to hear her priorities, her vision for the department, and how FINRA is responding to recent market events.
July 13, 2021
Compliance Tools
Small Firm Cybersecurity Checklist

Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:

July 12, 2021
Podcast
FINRA’s Financial Intelligence Unit: Connecting the Dots
Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization’s senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down to learn about FINRA’s new Financial Intelligence Unit, and how it is looking to transform how FINRA takes in, analyzes, and shares data.
June 29, 2021
Report / Study
Diversity & Inclusion Report - 2020 Year in Review
diversity and inclusion 2020 year in review

Download the

June 17, 2021
Training
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors

Training for the Securities Industry

NASAA, the SEC, and FINRA have provided this training presentation as a resource for the securities industry. Firms can use this presentation to train associated persons about how to detect, prevent, and report financial exploitation of senior and vulnerable adult investors.

June 15, 2021
Podcast
Building Board Diversity: FINRA’s Ongoing Commitment
Diversity has been a focus for FINRA’s Board of Governors for several years— and recently the Board achieved a significant milestone from a diversity perspective. On this episode we talk to FINRA’s Corporate Secretary and Deputy Corporate Secretary to hear how FINRA’s Board of Governors got to where it is today, and also to hear why diversity very much remains a perpetual work in progress.
June 15, 2021
Media Center
2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat
The 2021 FINRA Annual Conference was like no other with the event held entirely online. On this episode, take a behind-the-scenes look at the fireside chat between FINRA CEO Robert Cook and FINRA Board Chair Eileen Murray as they talk about everything from return to the office to the importance of diversity, equity and inclusion.
June 01, 2021
About FINRA
Report on Use of 2020 Fine Monies

FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.

May 27, 2021
Report / Study
2021 Industry Snapshot
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
May 25, 2021
Media Center
Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead
The pandemic forced the world to re-evaluate how it works—and FINRA’s Arbitration & Mediation Forum was no exception. To keep processes moving, FINRA Dispute Resolution Services allowed hearings to proceed virtually. A year later, we are looking at lessons learned, tips for practicing remotely and plans for the future of arbitration and mediation.
May 18, 2021
Podcast
Advanced Analytics: Transforming Advertising Regulation
An employee hackathon event a few years ago resulted in an idea that has since transformed the way FINRA’s Advertising Regulation group does its work. On this episode, we learn about the impressive collaborative effort to build a tool to apply advanced analytics and machine learning to the review of firm communications with the public.
May 04, 2021
Media Center
At, By or Through: Fraud in the Broker-Dealer Industry
The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.
April 20, 2021
FAQ
Margin Balance Reporting: Frequently Asked Questions under FINRA Rule 4521(d)
View frequently asked questions and guidance to aid members in their reporting obligations under FINRA Rule 4521(d). Note: This guidance only applies to members that need to report data pursuant to Rule 4521(d).
April 13, 2021
Podcast
Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead
Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear how the program adapted in the face of the pandemic before looking ahead to priorities for 2021.
April 06, 2021
Podcast
Year in Review: The 2020 Exam and Risk Monitoring Program
2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. On this episode, the first in a two-part series, we hear how the program fared in its first year after a major transformation.
March 23, 2021
Media Center
Cybersecurity: Current and Emerging Industry Priorities and Threats
Cybersecurity has only increased in importance as huge swaths of the workforce continue to work remotely. On this episode, two FINRA cybersecurity experts share how FINRA handled the transition and areas of focus for 2021. Plus, learn why you should think twice before trying to brush that piece of hair off your phone screen.
March 09, 2021
Media Center
Behind the Process: How an Enforcement Action Becomes an Enforcement Action
Formal disciplinary action or informal action, settlement or complaint. Or, the one you never hear about: no action. There are a lot of possible outcomes for an Enforcement investigation. On this episode, Jessica Hopper, head of FINRA Enforcement, walks us through the Enforcement process and the many steps in the process.
February 23, 2021
Media Center
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
This episode originally aired in September 2020. Technology is opening up new possibilities when it comes to solving business challenges. And that's important when it comes to optimizing an organization's most valuable limited resource: its people. On this episode, Member Supervision's new head of Data Analytics and Technology explains how FINRA is augmenting its examination and risk monitoring program.
February 09, 2021
Podcast
Revolutionizing the Digital Experience: Form U4 and FINRA Gateway
For the last couple of years, FINRA has been working to revolutionize the digital experience of firms, particularly when it comes to registration and disclosure. Recently, many of these changes have come to life through the new FINRA Gateway and an enhanced Form U4 filing experience. On this episode, we learn more about what’s new and what to expect next.
January 26, 2021
Media Center
Member Relations & Education: Reimagining the Future of Engagement
FINRA’s Member Relations & Education team is responsible for ensuring FINRA's regulatory programs are working for everyone and for maintaining a strong relationship with FINRA's member firms. But with a new group head looking back on an unprecedented year, the Member Relations & Education team is reimaging the future of member engagement.
January 12, 2021
Podcast
AI Virtual Conference: Industry Views on the State of Artificial Intelligence
FINRA hosted the virtual AI Conference to bring together regulators and leaders across the financial services industry to discuss the use of artificial intelligence and related opportunities and challenges. On this episode, we hear about the current and future state of AI from three industry leaders.
November 24, 2020
Guidance
Targeted Examination Letter on Rights of Reinstatement (RoR)

November 2020

FINRA is conducting a review of firms’ systems and procedures for providing customers waivers and rebates available through Rights of Reinstatement1 (RoR) on mutual fund purchases.

As part of this review, FINRA will request that each firm that receives this information request respond to the questions below with respect to the period January 1, 2017 through June 30, 2020 (the relevant period):

November 11, 2020