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  • Rules & Guidance
      1. R&G section 1
        1. FINRA Manual
          1. Updates
        2. Interpreting the Rules
          1. Notices
          2. Guidance
          3. Frequently Asked Questions
          4. Key Topics
          5. Interpretive Questions
      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
          2. Rule Filing Status Report
          3. Requests for Comments
          4. Rulebook Consolidation
        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
          2. Office of Hearing Officers (OHO)
      3. R&G section 3
        1. Enforcement
          1. Disciplinary Actions Online
          2. Monthly Disciplinary Actions
          3. Sanction Guidelines
          4. Individuals Barred by FINRA
  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
          1. Broker Dealers
          2. Capital Acquisition Brokers
          3. Funding Portals
          4. Individuals
      2. Registration section 2
        1. Qualification Exams
          1. Securities Industry Essentials Exam (SIE)
          2. Series 7
          3. All
        2. Continuing Education (CE)
      3. Registration section 3
        1. Registration Systems
          1. Classic CRD
          2. Financial Professional Gateway (FinPro)
          3. Financial Industry Networking Directory (FIND)
  • Events & Training
      1. Conferences & Events
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  • Filing & Reporting
      1. FINRA Gateway
      2. Systems Status
      3. Entitlement Program
      4. Market Transparency Reporting Tools
      5. Regulatory Filing Systems
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      7. E-Bill
  • Compliance Tools
      1. Cybersecurity Checklist
      2. Compliance Calendar
      3. Weekly Update Email Archive
      4. Peer-2-Peer Compliance Library
      5. Compliance Vendor Directory
  • For Investors
      1. For Investors section 1
        1. Investor Insights
        2. Tools & Calculators
        3. Personal Finance
          1. Net Worth
          2. Spending
          3. Debt
          4. Credit Scores
          5. Emergency Funds
      2. For Investors section 2
        1. Investing
          1. Investing Basics
          2. Investment Products
          3. Investment Accounts
          4. Working With an Investment Professional
        2. Protect Your Money
          1. Investor Alerts
          2. Ask and Check
          3. Avoid Fraud
          4. Protect Your Identity
      3. For Investors section 3
        1. For the Military
        2. Need Help?
          1. File a Complaint
          2. FINRA Securities Helpline for Seniors
          3. Dispute Resolution
          4. Avenues for Recovery of Losses
  1. Rules & Guidance
  2. Guidance
  4. 2024 FINRA Annual Regulatory Oversight Report
EXPLORE THIS SECTION

2024 FINRA Annual Regulatory Oversight Report

  • Introduction
    • How to Use the Report
  • Financial Crimes
    • Cybersecurity and Technology Management
    • Anti-Money Laundering, Fraud and Sanctions
    • Manipulative Trading
  • Crypto Asset Developments
  • Firm Operations
    • Outside Business Activities and Private Securities Transactions
    • Books and Records
    • Regulatory Events Reporting
    • Trusted Contact Persons
    • Crowdfunding Offerings: Broker-Dealer and Funding Portals
  • Communications and Sales
    • Communications with the Public
    • Reg BI and Form CRS
    • Private Placements
    • Variable Annuities
  • Market Integrity
    • Consolidated Audit Trail (CAT)
    • Best Execution
    • Disclosure of Routing Information
    • Regulation SHO – Bona Fide Market Making Exemptions
    • Fixed Income – Fair Pricing
    • OTC Quotations in Fixed Income Securities
    • Advertised Volume
    • Market Access Rule
  • Financial Management
    • Net Capital
    • Liquidity Risk Management
    • Credit Risk Management
    • Portfolio Margin and Intraday Trading
    • Segregation of Assets and Customer Protection
  • Appendix – Using FINRA Reports in Your Firm’s Compliance Program

Market Integrity
  • Consolidated Audit Trail (CAT)
  • Best Execution
  • Disclosure of Routing Information
  • Regulation SHO – Bona Fide Market Making Exemptions
  • Fixed Income – Fair Pricing
  • OTC Quotations in Fixed Income Securities NEW FOR 2024
  • Advertised Volume NEW FOR 2024
  • Market Access Rule NEW FOR 2024
Previous:
Variable Annuities
Up:
Market Integrity
Next:
Consolidated Audit Trail (CAT)

Download the Report

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ARBITRATION & MEDIATION

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General Inquiries

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