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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Board of Governors Meeting
March 2023 Board Meeting
FINRA’s Board of Governors met on March 9 and 10, and it approved a proposal to shorten the securities settlement cycle from two business days after the trade date (T+2) to one (T+1) and approved the allocation of 2022 fine monies to various capital initiatives.
March 15, 2023
Media Center
Then and Now: Following Up with the New and Experienced Investors of 2020
In 2020, a surge of new investors entered U.S. securities markets for the very first time, and the FINRA Foundation and its research partners at NORC at the University of Chicago jumped into action to get to know just exactly who these investors were. Two years later, they followed up to see where those investors are now. On this episode, we hear more.
March 07, 2023
Guidance
FINRA Provides Update on Sweep: Social Media Influencers, Customer Acquisition and Related Information Protection
This follow-up to the September 2021 targeted exam (sweep) of firms’ practices related to their acquisition of customers through social media channels and their sharing of customers’ usage information with affiliates and non-affiliated third parties summarizes selected practices FINRA has observed firms implement to this point in the sweep.
February 28, 2023
Guidance
Cybersecurity Alert - Ongoing Phishing Campaign

This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@finra.eu” and “@finrarec.com”. Samples of both emails are provided in Appendices 1 and 2.

The domains of “finra.eu” and “finrarec.com” are not connected to FINRA, and member firms or their customers may receive similar phishing emails from other domain names in addition to those identified in this Alert.

February 23, 2023
Media Center
Introducing REMA: Thinking Differently About Rulemaking, Decision-Making, Innovation and More
FINRA recently announced the creation of a new team, the Office of Regulatory Economics and Market Analysis, which brings together FINRA's Office of the Chief Economist and the Office of Financial Innovation. On this episode, we talk to three leaders from the new group to hear about its mandate and how the new team works to inform FINRA's regulatory policies and programs to advance its mission of investor protection and market integrity.
February 21, 2023
Media Center
A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative
FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models. On this episode, we hear what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer.
February 07, 2023
Media Center
Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life.
January 24, 2023
Report / Study
2023 Report on FINRA’s Examination and Risk Monitoring Program
The 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, regulatory operations programs).
January 10, 2023
Media Center
2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. On this episode, three Member Supervision senior leaders join us to dig into some of the new and noteworthy regulatory topics in the 2023 Report on FINRA’s Examination and Risk Monitoring Program.
January 10, 2023
Arbitration and Mediation
The Neutral Corner - Volume 4—2022
The Neutral Corner - Volume 4—2022
December 30, 2022
Media Center
Gift Guide for CCOs: Top Five FINRA Compliance Tools and Resources
The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, we cover the top five FINRA compliance resources, or gifts, for compliance professionals with FINRA's Head of Member Relations and Education.
December 13, 2022
Guidance
FINRA Provides Update on Sweep: Option Account Opening, Supervision and Related Areas

November 2022

Background

In August 2021, FINRA launched a targeted exam (sweep) to review firms’ practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence. FINRA’s review focuses on a cross-section of retail and diversified firms that offer options trading to their customers.

November 30, 2022
Media Center
Encore | Fraud Stoppers: FINRA’s Market Investigations Group
This episode originally aired in March 2022. Detecting and deterring fraud and insider trading is at the core of FINRA's mission of investor protection and market integrity. On this episode, the head of FINRA's Market Investigations team joins us once again to talk about the latest trends and patterns in FINRA's fraud and insider trading investigations, including some stories about some of the craziest and most interesting cases of the past few years.
November 29, 2022
Media Center
Enhancing Your Compliance Practice with the FINRA Institute at Georgetown CRCP Program
The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional Program is designed to give compliance, legal and regulatory professionals an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. On this episode, we hear from the CRCP Program's Academic Director and FINRA Program Leader about what makes the CRCP Program a must for FINRA member firms and their high-performing compliance staff.
November 15, 2022
Guidance
Cybersecurity Alert - Ongoing Phishing Campaign

This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@filling-regfinra.com”. The domain of “filling-regfinra.com” is not connected to FINRA, and firms should delete all emails originating from this domain. Member firms should be aware that they may receive similar phishing emails from other domain names in addition to those identified in this Alert.

The email states:

Dear Name ,

I hope all is well!

November 15, 2022
Guidance
Crypto Asset Communications
FINRA is conducting a targeted exam of firm practices regarding retail communications concerning Crypto Asset products and services.
November 14, 2022
Media Center
Membership Application Program: Reviewing and Approving Digital Asset Firms
The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps. On this episode, we hear about some common sticking points in these new and continuing member applications and how FINRA is working to support innovation while protecting investors in this dynamic environment.
November 01, 2022
FAQ
Frequently Asked Questions (FAQ) about Short Interest Reporting
The guidance provided in these FAQs pertains to the reporting to FINRA of “short” positions pursuant to FINRA Rule 4560 (Short-Interest Reporting) in OTC Equity securities, as defined in Rule 6420, and securities listed on a national securities exchange.
October 27, 2022
Podcast
2022 Ketchum Prize: Advancing Financial Inclusion and Alleviating Racial and Gender Bias in Agricultural Lending
Dr. Cesar Escalante’s pioneering research into racial and gender biases in agricultural lending helped earned him the 2022 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, hear from Dr. Escalante about his research, his dedication to mentorship and more.
October 18, 2022
Media Center
CE Transformation Update: Annual Regulatory Element and the Latest on the MQP
A few new deadlines from the ongoing securities industry Continuing Education Transformation are right around the corner. On this episode, we hear how the Maintaining Qualifications Program is progressing and what firms can expect in with regard to changes to the Continuing Education Regulatory Element in the months ahead.
October 04, 2022
Arbitration and Mediation
The Neutral Corner - Volume 3—2022
The Neutral Corner - Volume 3—2022
September 27, 2022
Guidance
Jeffrey Eileen, ICE Bonds Securities Corporation
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
September 21, 2022
Media Center
FINRA Enforcement: Bringing Cases Against Individual Brokers
When it comes to bringing enforcement actions against individual brokers, there is a lot to consider, especially when the sanctions can be life altering for the individual in question. On this episode, we hear what makes cases against individual brokers different from those brought against firms and all the considerations involved.
September 20, 2022
Media Center
Regulatory Operations: Stronger Regulation Through Integrated Oversight
Member Supervision, Market Regulation and Transparency Services and Enforcement. These three teams together make up Regulatory Operations or Reg Ops, which is at the very core of FINRA's efforts to protect investors and ensure fair and efficient markets for all. On this episode, we hear from the heads of all three groups about how they are working together to increase coordination and to ensure integrated oversight, to be able to better anticipate and address risks.
September 06, 2022
Media Center
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s National Cause and Financial Crimes Detection Program comes at its work and leverages intelligence and analytics to drive decision making and operations. On this episode, we hear how these changes will help FINRA better deliver on its mission of investor protection, market integrity.
August 09, 2022