Routine
FAQ
Added
Final
FINRA FAQs on Compliance, Advertising, AML, and Trade Reporting
Detected
February 6th, 2026
Summary
FINRA has published a collection of Frequently Asked Questions (FAQs) covering various compliance topics, including customer assistance in investigations, 529 Savings Plans, accounts at other broker-dealers, advertising, alternative display facilities, anti-money laundering, arbitration, blue sheets, books and records, breakpoints, broker-dealer registration, recruitment disclosures, BrokerCheck, business continuity planning, and CRD.
What changed
FINRA has compiled and published a comprehensive set of Frequently Asked Questions (FAQs) addressing a wide range of regulatory and compliance topics relevant to its member firms. These FAQs cover areas such as customer roles in investigations, 529 plan share class initiatives, accounts at other broker-dealers, advertising rules (Rules 2210, 3230, 5122, 5123), trade reporting, anti-money laundering (AML), arbitration and mediation processes, blue sheets, books and records rules, breakpoints, broker-dealer registration and recruitment disclosures, BrokerCheck, business continuity planning, and CRD system functionalities.
These FAQs serve as a non-binding resource to help regulated entities understand and comply with FINRA rules and guidance. Compliance officers and legal professionals should review the specific FAQs relevant to their firm's operations to ensure adherence to FINRA's expectations and to identify any potential areas for internal policy or procedure updates. While these documents do not impose new obligations, they clarify existing requirements and best practices, and understanding them is crucial for maintaining compliance and avoiding potential regulatory scrutiny.
Source document (simplified)
Frequently Asked Questions (FAQ)
529 Savings Plans
Accounts At Other Broker Dealers and Financial Institutions
Advertising Regulation
- FINRA Rule 2210 Frequently Asked Questions
- Frequently Asked Questions Regarding FINRA Rule 3230
- Frequently Asked Questions Related to Filing Requirements of Rules 5122 and 5123
Alternative Display Facility (ADF)
Anti-Money Laundering
Arbitration and Mediation
- Filing a Claim FAQ
- Frequently Asked Questions about the DR Portal for Arbitration and Mediation Case Participants
- Frequently Asked Questions about the DR Portal for Arbitrators and Mediators
- Frequently Asked Questions about Using ADTRAV for Arbitrators
- Honoraria & Expenses for Arbitrators
- Motion to Dismiss and Eligibility Rules FAQ
- Prohibited Conditions Relating to Expungement of Customer Dispute Information FAQ
Blue Sheets
Books and Records
Breakpoints
Broker Dealer Registration
- Frequently Asked Questions about Continuing Membership Applications
- Frequently Asked Questions About Exemption Reporting Under SEA Rule 15c3-3(k) for Purposes of FOCUS Reporting and Updating of Membership Agreements
Broker-Dealer Recruitment Disclosures
BrokerCheck
Business Continuity Planning
Central Registration Depository (CRD)
- E-Bill Frequently Asked Questions (FAQ)
- FINRA Entitlement Program Frequently Asked Questions
- FINRA Rule 4530 – CRD Form U4 Frequently Asked Questions (FAQ)
- Frequently Asked Questions about Branch Office Registration
- Frequently Asked Questions About CRD Queues
- Frequently Asked Questions About CRD Reports
- Frequently Asked Questions About Disclosure in CRD
- Frequently Asked Questions About Dually Registered Representatives and/or IA Representatives of Affiliated Firms in CRD
- Frequently Asked Questions about FINRA Rule 2080 (Expungement)
- Frequently Asked Questions About Firm Form Filing in CRD
- Frequently Asked Questions About Form Filing for Individuals in CRD
- Frequently Asked Questions About General Registered Representative (AG) CRD Filings
- Frequently Asked Questions About Late Disclosure Fees
- Frequently Asked Questions About Qualifications in CRD
- Frequently Asked Questions about the Central Registration Depository (CRD)
- Frequently Asked Questions about Transactions in CRD
- Frequently Asked Questions on Duplicate Disclosures
- General Frequently Asked Questions About the CRD System
- Renewal Program FAQ
- Web EFT Frequently Asked Questions
Conflicts of Interest
Consolidated Audit Trail (CAT)
Corporate Financing
- Corporate Financing Amended Rule 5110* Frequently Asked Questions (FAQ)
- Frequently Asked Questions (FAQ) about Private Placements
- Frequently Asked Questions about FINRA Rule 5131 (New Issue Allocations and Distributions)
- Limited Review Program Frequently Asked Questions (FAQ)
- Regulation A+ FAQs
- Rule 2310 FAQs
COVID-19 / Coronavirus
Day Trading
Derivatives and Other Balance Sheet Items (OBS)
Digital Experience Transformation (DXT)
E-Bill
Education
EFocus
Electronic Fingerprint Processing
Essentials Exam
- Frequently Asked Questions about the Test Enrollment Services System (TESS)™
- SIE Exam and Exam Restructuring Frequently Asked Questions (FAQ)
Exam Restructuring
Exchange Traded Funds (ETFs)
Expungement
- Frequently Asked Questions about Expungement of Customer Dispute Information Under Rules 12800, 12805 and 13805
- Frequently Asked Questions about FINRA Rule 2080 (Expungement)
- Prohibited Conditions Relating to Expungement of Customer Dispute Information FAQ
Fidelity Bonds
Financial and Operational Rules, Interpretations to the SEC’s
Fixed Income
Funding Portals
Gifts, Gratuities and Non-Cash Compensation
Individual Registration
- FINRA Qualification and Registration Requirements Frequently Asked Questions (FAQ)
- Frequently Asked Questions about FINRA Rule 2080 (Expungement)
- Qualification Exam Frequently Asked Questions (FAQ)
Information and Testimony Requests
Investors
Margin Regulation
- Frequently Asked Questions Regarding Covered Agency Transaction Margin under FINRA Rule 4210
- Margin Balance Reporting: Frequently Asked Questions under FINRA Rule 4521(d)
- Portfolio Margin FAQ
Member Application Program
Military
Mutual Funds
Net Capital
Office of Hearing Officers (OHO)
- Frequently Asked Questions for Respondents in FINRA Disciplinary Proceedings
- Frequently Asked Questions for Respondents in FINRA Expedited Proceedings
Order Audit Trail System (OATS)
- FAQ regarding Order Audit Trail System (OATS) Compliance
- Frequently Asked Questions (FAQ) regarding the Order Audit Trail System (OATS)
- Frequently Asked Questions about OATS Phase III
- OATS Clock Synchronization FAQ
- OATS Definitions FAQ
- OATS for all NMS Stocks FAQ
- OATS OTC FAQ
- OATS Technical FAQ
OTC (ATS & Non-ATS) Transparency
- Frequently Asked Questions about OTC (ATS & Non-ATS) Transparency
- Trade Reporting Frequently Asked Questions
Over-the-Counter Reporting Facility (ORF)
Periodic Security Counts, Verifications and Comparisons
Private Placements
- Frequently Asked Questions (FAQ) about Private Placements
- Frequently Asked Questions Related to Filing Requirements of Rules 5122 and 5123
Protecting Investors From Misconduct
Public Offerings
- Corporate Financing Amended Rule 5110* Frequently Asked Questions (FAQ)
- Limited Review Program Frequently Asked Questions (FAQ)
- Regulation A+ FAQs
- Rule 2310 FAQs
Qualification Exams
- FINRA Qualification and Registration Requirements Frequently Asked Questions (FAQ)
- Frequently Asked Questions Related to Back-to-back Scheduling
- Operations Professional Registration Frequently Asked Questions (FAQ)
- Qualification Exam FAQ
- Qualification Exam Frequently Asked Questions (FAQ)
- SIE Exam and Exam Restructuring Frequently Asked Questions (FAQ)
Regulation Best Interest (REG BI)
Regulation M
Renewal Program
Research Analyst Rules
Rule 4530 Reporting Requirements
Sanction Guidelines
Senior Investors
Short Interest Reporting
Statutory Disqualification
- Frequently Asked Questions on FINRA’s Eligibility Proceedings for Firms Participating in the MCDC Initiative
- Frequently Asked Questions on FINRA’s Eligibility Proceedings for Firms Participating in the SCSD Initiative
Suitability
Supervision
Supplemental Liquidity Schedule
Supplemental Statement of Income (SSOI)
Telemarketing
Trade Reporting and Compliance Engine (TRACE)
- Frequently Asked Questions (FAQ) about the Trade Reporting and Compliance Engine (TRACE)
- Frequently Asked Questions about ABS Dissemination
- Reporting of Corporate and Agencies Debt Frequently Asked Questions (FAQ)
- Reporting of Mortgage and Asset Backed Securities (Securitized Products)
- TRACE Structured Product Reports FAQ
Trade Reporting Facility (TRF)
- Regulation NMS Plan to Address Extraordinary Market Volatility Plan Frequently Asked Questions (FAQ)
- Trade Reporting Frequently Asked Questions
Trading Activity Fee
Transactions Involving FINRA Employees
Uniform Practice Code (UPC)
Web CRD
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