Frequently Asked Questions (FAQ)

• The Important Role Customers Play in Assisting FINRA in Investigations

529 Savings Plans

• Frequently Asked Questions Regarding the 529 Plan Share Class Initiative

Accounts At Other Broker Dealers and Financial Institutions

• FAQ Concerning FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)

Advertising Regulation

• Frequently Asked Questions About Advertising Regulation
• Frequently Asked Questions Regarding FINRA Rule 3230
• Frequently Asked Questions Related to Filing Requirements of Rules 5122 and 5123
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

Alternative Display Facility (ADF)

• Trade Reporting Frequently Asked Questions

Annual Audit

• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

Anti-Money Laundering

• Frequently Asked Questions (FAQ) regarding Anti-Money Laundering (AML)
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

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
• Radicación de Reclamo – Preguntas Frecuentes

Blue Sheets

• Frequently Asked Questions about Electronic Blue Sheets (EBS)

Books and Records

• Frequently Asked Questions about the 2001 Amendments to Broker-Dealer Books and Records Rules Under the Securities Exchange Act of 1934

Breakpoints

• Frequently Asked Questions about Breakpoints
• Mutual Fund Breakpoint Assessment Q&A

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
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

Broker-Dealer Recruitment Disclosures

• Frequently Asked Questions Regarding FINRA Rule 2273

BrokerCheck

• BrokerCheck FAQ
• Frequently Asked Questions about FINRA Rule 2080 (Expungement)

Business Continuity Planning

• Business Continuity Planning FAQ
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

Central Registration Depository (CRD)

• CRD - FAQ - Form Filing for Firms
• CRD - FAQ - Queues
• CRD - FAQ Branch Office Registration
• CRD - FAQ Form Filing for Individuals
• CRD - FAQ Web CRD Transactions
• CRD FAQ - Disclosure
• CRD FAQ - Dually Registered Representatives and/or IA Representatives of Affiliated Firms
• CRD FAQ - General
• CRD FAQ - General Registered Representative (AG)
• CRD FAQ - Qualifications
• CRD FAQ - Reports
• Duplicate Disclosure Interpretive Guidance - FAQ
• 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 FINRA Rule 2080 (Expungement)
• Frequently Asked Questions about the Central Registration Depository (CRD)
• Late Disclosure Fee Frequently Asked Questions
• Renewal Program FAQ
• Web EFT Frequently Asked Questions

Compliance Resources

• Frequently Asked Questions about the Compliance Vendor Directory (CVD)

Conflicts of Interest

• Frequently Asked Questions Regarding FINRA Rule 2273

Consolidated Audit Trail (CAT)

• CAT FAQ for Small Firms

Continuing Education

• Frequently Asked Questions Related to Regulatory Notice 21-41

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)

COVID-19 / Coronavirus

• Business Continuity Planning FAQ
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

Day Trading

• Portfolio Margin FAQ

Derivatives and Other Balance Sheet Items (OBS)

• Frequently Asked Questions about Derivatives and Other Off-Balance Sheet Items (OBS)

Digital Experience Transformation (DXT)

• FINRA Gateway Frequently Asked Questions

E-Bill

• E-Bill Frequently Asked Questions (FAQ)
• Frequently Asked Questions about Billing and Collections

Education

• About the FINRA Institute at Georgetown CRCP Program
• CRCP Reporting Frequently Asked Questions (FAQ)
• CRCP Scholarship Program FAQ

EFocus

• eFOCUS Frequently Asked Questions
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

Electronic Fingerprint Processing

• Frequently Asked Questions (FAQ) About Fingerprint Processing

Essentials Exam

• Frequently Asked Questions about the Test Enrollment Services System (TESS)™
• SIE Exam and Exam Restructuring Frequently Asked Questions (FAQs)

Exam Restructuring

• SIE Exam and Exam Restructuring Frequently Asked Questions (FAQs)

Exchange Traded Funds (ETFs)

• Non-Traditional ETFs FAQ

Expungement

• Frequently Asked Questions about Expungement of Customer Dispute Information Under Rules 12800, 12805 and 13805
• Frequently Asked Questions about FINRA Rule 2080 (Expungement)

Financial and Operational Rules, Interpretations to the SEC’s

• Regulatory Notice 12-58

Financial Professional Gateway (FinPro)

• Frequently Asked Questions about the Financial Professional Gateway

Fixed Income

• Fixed Income Confirmation Disclosure: Frequently Asked Questions (FAQ)

Funding Portals

• Frequently Asked Questions (FAQs) on Regulation Crowdfunding

Gifts, Gratuities and Non-Cash Compensation

• Gifts/Business Entertainment/Non-Cash Compensation FAQs

Individual Registration

• FINRA Qualification and Registration Requirements Frequently Asked Questions
• Frequently Asked Questions about FINRA Rule 2080 (Expungement)
• Frequently Asked Questions about the Financial Professional Gateway
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
• Qualification Exam Frequently Asked Questions (FAQ)

Information and Testimony Requests

• Frequently Asked Questions about FINRA Rule 8210 (Information and Testimony Requests)

Investors

• BrokerCheck FAQ
• Market Data Frequently Asked Questions

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

Military

• Frequently Asked Questions Regarding FINRA Rule 2272 (Sales and Offers of Sales of Securities on Military Installations)
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

Mutual Funds

• Mutual Fund Breakpoint Assessment Q&A

Net Capital

• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
• Portfolio Margin FAQ
• Regulatory Notice 12-58

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)

• Trade Reporting Frequently Asked Questions

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

• Rule 4111 Frequently Asked Questions

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
• Frequently Asked Questions Related to Back-to-back Scheduling
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
• Qualification Exam FAQ
• Qualification Exam Frequently Asked Questions (FAQ)
• SIE Exam and Exam Restructuring Frequently Asked Questions (FAQs)

Regulation Best Interest (REG BI)

• Frequently Asked Questions About Advertising Regulation

Regulation M

• SEC Regulation M-Related Notice Requirements Under FINRA Rules Frequently Asked Questions

Renewal Program

• Renewal Program FAQ

Research Analyst Rules

• Research Rules Frequently Asked Questions (FAQ)

Rule 4530 Reporting Requirements

• FINRA Rule 4530 – CRD Form U4 Frequently Asked Questions (FAQ)
• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
• Rule 4530 Frequently Asked Questions

Sanction Guidelines

• Sanction Guidelines - FAQ

Senior Investors

• Frequently Asked Questions Regarding FINRA Rules Relating to Financial Exploitation of Senior Investors

Short Interest Reporting

• Frequently Asked Questions (FAQ) about 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

• FINRA Rule 2111 (Suitability) FAQ

Supervision

• Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
• Supervision Frequently Asked Questions (FAQ)

Supplemental Liquidity Schedule

• Frequently Asked Questions: Supplemental Liquidity Schedule

Supplemental Statement of Income (SSOI)

• Supplemental Statement of Income (SSOI) Frequently Asked Questions

Telemarketing

• Frequently Asked Questions Regarding FINRA Rule 3230

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

• Trading Activity Fee Frequently Asked Questions

Uniform Practice Code (UPC)

• Frequently Asked Questions about the Uniform Practice Code (UPC)

Web CRD

• Frequently Asked Questions about FINRA Rule 2080 (Expungement)