FINRA Guidance

FINRA Guidance Documents, Interpretive Letters, FAQs, and Best Practices

FINRA has published a collection of its guidance documents, interpretive letters, FAQs, and best practices related to specific topics. This resource aims to provide clarity and support for regulated entities in understanding and adhering to FINRA rules.

FINRA Interpretive Letters on Rule Application

FINRA has published interpretive letters providing guidance on the application of specific FINRA rules under various circumstances. These letters clarify staff views on rules related to communications with the public, account transfers, and registration categories.

FINRA FAQs on Compliance, Advertising, AML, and Trade Reporting

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.

FINRA Exemptive Letters List

FINRA has published a list of its exemptive letters, including those related to TRACE ATS Reporting, Municipal Securities, and Initial Public Offerings (IPOs). These letters provide guidance to industry professionals on FINRA's decision-making rationale for specific situations.