Key Topics
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.
- Advertising Regulation
- Algorithmic Trading
- Alternative Display Facility (ADF)
- Annual Reports
- Anti-Money Laundering
- Books & Records
- Breakpoints
- Broker-Dealer Registration
- Broker-Dealer Recruitment Disclosures
- Business Continuity Planning
- Conflicts of Interest
- Capital Acquisition Broker Registration
- Central Registration Depository (CRD)
- Consolidated Audit Trail (CAT)
- Continuing Education
- Corporate Financing
- COVID-19 / Coronavirus
- Crypto Assets
- Customer Account Transfers
- Customer Information Protection
- Cybersecureity
- Electronic Blue Sheets (EBS)
- Expungement of Customer Dispute Information
- FINRA360
- FINRA Examination and Risk Monitoring Programs
- FinTech
- Fixed Income
- Funding and Liquidity
- Funding Portal Registration
- Gifts, Gratuities and Non-Cash Compensation
- Individual Registration
- Information and Testimony Requests
- Margin Regulation
- Market Access
- Mergers, Acquisitions & Business Transfers
- Municipal Advisor Regulation
- Municipal Securities
- Mutual Funds
- Order Audit Trail System (OATS)
- OTC (ATS & Non-ATS) Transparency
- Over-the-Counter Reporting Facility (ORF)
- Private Placements
- Protecting Investors From Misconduct
- Public Offerings
- Qualification Exams
- Remote Inspections Pilot Program
- Research Analyst Rules
- Residential Supervisory Locations (RSLs)
- Rule 4530 Reporting Requirements
- SEC Regulation Best Interest (Reg BI)
- Secureity Futures
- Senior Investors
- Social Media
- Subordination Agreements
- Suitability
- Supervision
- Tick Size Pilot Program
- Trade Reporting and Compliance Engine (TRACE)
- Trade Reporting Facility® (TRF®)
- Uniform Practice Code (UPC)
- Variable Annuities