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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 RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money LaunderingBooks & RecordsBreakpointsBroker-Dealer RegistrationBroker-Dealer Recruitment DisclosuresBusiness Continuity PlanningConflicts of InterestCapital Acquisition Broker RegistrationCentral Registration Depository (CRD)Consolidated Audit Trail (CAT)Continuing EducationCorporate FinancingCrypto AssetsCustomer Account TransfersCustomer Information ProtectionCybersecurityElectronic Blue Sheets (EBS)Expungement of Customer Dispute InformationFINRA360FINRA Examination and Risk Monitoring ProgramsFinTechFixed IncomeFunding and LiquidityFunding Portal RegistrationGifts, Gratuities and Non-Cash CompensationIndividual RegistrationInformation and Testimony RequestsMargin RegulationMarket" /> <meta 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class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/funding-portals" class="sf-depth-4" aria-labelledby="Funding Portals">Funding Portals</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content45b769ff-9b3c-4cbc-befb-79380e5b6014--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/individuals" class="sf-depth-4" aria-labelledby="Individuals">Individuals</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentac0e3bb2-976c-4b6a-8fec-981489a9fdec--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 2">Registration Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content5b603fc0-12c2-44c3-bb60-0db5f114a14f--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/qualification-exams" class="sf-depth-3 menuparent" aria-labelledby="Qualification Exams">Qualification Exams</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content63752dac-c460-4619-b75a-0544d39f9e21--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" class="sf-depth-4" aria-labelledby="Securities Industry Essentials Exam (SIE)">Securities Industry Essentials Exam (SIE)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenteba0ebc3-0134-40a1-869d-3a5a30f05306--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/series7" class="sf-depth-4" aria-labelledby="Series 7">Series 7</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1d435c60-0a5d-4ac1-baac-6feb68ac1aa4--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/continuing-education" class="sf-depth-3 menuparent" aria-labelledby="Continuing Education (CE)">Continuing Education (CE)</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content12708005-03a9-4813-a1c4-b79ccb575e00--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/continuing-education/regulatory-element-topics" class="sf-depth-4" aria-labelledby="View a Regulatory Element Learning Plan">View a Regulatory Element Learning Plan</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content87ac70da-476d-497b-bee4-39d65e59ea5f--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 3">Registration Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1f87e2bc-137c-4e76-ba12-921ac5400696--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/classic-crd" class="sf-depth-3 menuparent" aria-labelledby="Registration Systems">Registration Systems</a><ol><li 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href="/events-training/webinars" class="sf-depth-3" aria-labelledby="Webinars">Webinars</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf3f7bbdd-246d-45c1-af1c-960dc8ad074d--2" class="sf-depth-1 header menuparent"><a href="/filing-reporting" class="sf-depth-1 menuparent" aria-labelledby="Filing & Reporting">Filing & Reporting</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content296db8b3-7b22-4c23-a036-06be44277a69--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/filing-reporting" class="sf-depth-2 menuparent" aria-labelledby="Filing & Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2de7e722-b3b2-471e-9cf2-587f649dd923--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/data-transfer-tools" class="sf-depth-3" aria-labelledby="Data Transfer Tools">Data Transfer Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentec6d9be1-8ac6-4071-890c-52838b5490a2--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/e-bill" class="sf-depth-3" aria-labelledby="E-Bill">E-Bill</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentabdfc859-e1e4-4071-9b99-9535c132ee72--2" class="sf-depth-1 header menuparent"><a href="/compliance-tools" class="sf-depth-1 menuparent" aria-labelledby="Compliance Tools">Compliance Tools</a><ul 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header sf-no-children"><a href="/investors/alerts" class="sf-depth-4" aria-labelledby="Investor Alerts">Investor Alerts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbabb7a34-330b-432a-9c7a-3aed86cab6b3--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/ask-and-check" class="sf-depth-4" aria-labelledby="Ask and Check">Ask and Check</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content75981642-a29c-4c2f-a04a-268dd98fd524--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/avoid-fraud" class="sf-depth-4" aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content773fb0c7-df7e-422b-a8f0-3689c3f58683--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/protect-your-identity" class="sf-depth-4" aria-labelledby="Protect Your Identity">Protect Your Identity</a></li></ol></li></ol></div></li><li 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class="sf-depth-4" aria-labelledby="File a Complaint">File a Complaint</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentcca58141-8642-401c-acd4-a857dae74c57--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/helpline-seniors" class="sf-depth-4" aria-labelledby="FINRA Securities Helpline for Seniors">FINRA Securities Helpline for Seniors</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentb8670cad-ba33-4aff-a609-45c82362ed80--2" class="sf-depth-4 header sf-no-children"><a href="/arbitration-mediation" class="sf-depth-4" aria-labelledby="Dispute Resolution Services">Dispute Resolution Services</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentfb105b99-1a67-497d-8fd6-500d4c597267--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/your-rights-under-sipc-protection-rot" class="sf-depth-4" aria-labelledby="SIPC Protection">SIPC Protection</a></li><li 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data-block-plugin-id="entity_field:node:title" class="block block-ctools-block block-entity-fieldnodetitle"> <div class="content"> <span class="field field--name-title field--type-string field--label-hidden"><h1>Key Topics</h1></span> </div> </div> </div> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="row"> <div class="layout__region layout__region--middle col-md-12"> <div class="block-region-middle"><div data-block-plugin-id="entity_field:node:body" class="block block-ctools-block block-entity-fieldnodebody"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p>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.</p><div class="item-list globalFloatLeft width50 padding--15"><ul><li><a href="/rules-guidance/key-topics/advertising-regulation">Advertising Regulation</a></li><li><a href="/rules-guidance/key-topics/algorithmic-trading">Algorithmic Trading</a></li><li><a href="/filing-reporting/alternative-display-facililty-adf">Alternative Display Facility (ADF)</a></li><li><a href="/rules-guidance/key-topics/annual-reports">Annual Reports</a></li><li><a href="/rules-guidance/key-topics/aml">Anti-Money Laundering</a></li><li><a href="/rules-guidance/key-topics/books-records">Books & Records</a></li><li><a href="/rules-guidance/key-topics/breakpoints">Breakpoints</a></li><li><a href="/registration-exams-ce/broker-dealers">Broker-Dealer Registration</a></li><li><a href="/rules-guidance/key-topics/broker-dealer-recruitment-disclosures">Broker-Dealer Recruitment Disclosures</a></li><li><a href="/rules-guidance/key-topics/business-continuity-planning">Business Continuity Planning</a></li><li><a href="/rules-guidance/key-topics/conflicts-of-interest">Conflicts of Interest</a></li><li><a href="/registration-exams-ce/capital-acquisition-brokers">Capital Acquisition Broker Registration</a></li><li><a href="/registration-exams-ce/classic-crd">Central Registration Depository (CRD)</a></li><li><a href="/rules-guidance/key-topics/consolidated-audit-trail-cat">Consolidated Audit Trail (CAT)</a></li><li><a href="/registration-exams-ce/continuing-education">Continuing Education</a></li><li><a href="/rules-guidance/key-topics/corporate-financing">Corporate Financing</a></li><li><a href="/rules-guidance/key-topics/crypto-assets">Crypto Assets</a></li><li><a href="/rules-guidance/key-topics/customer-account-transfers">Customer Account Transfers</a></li><li><a href="/rules-guidance/key-topics/customer-information-protection">Customer Information Protection</a></li><li><a href="/rules-guidance/key-topics/cybersecurity">Cybersecurity</a></li><li><a href="/bluesheets">Electronic Blue Sheets (EBS)</a></li><li><a href="/rules-guidance/key-topics/expungement">Expungement of Customer Dispute Information</a></li><li><a href="/about/finra-360">FINRA360</a></li><li><a href="/rules-guidance/key-topics/finra-examination-risk-monitoring-programs">FINRA Examination and Risk Monitoring Programs</a></li><li><a href="/rules-guidance/key-topics/fintech">FinTech</a></li><li><a href="/rules-guidance/key-topics/fixed-income">Fixed Income</a></li><li><a href="/rules-guidance/key-topics/funding-liquidity">Funding and Liquidity</a></li><li><a href="/registration-exams-ce/funding-portals">Funding Portal Registration</a></li><li><a href="/rules-guidance/key-topics/gifts-gratuities-and-non-cash-compensation">Gifts, Gratuities and Non-Cash Compensation</a></li><li><a href="/registration-exams-ce/individuals">Individual Registration</a></li></ul></div><div class="item-list globalFloatLeft width50 padding--15"><ul><li><a href="/rules-guidance/guidance/information-and-testimony-requests">Information and Testimony Requests</a></li><li><a href="/rules-guidance/key-topics/margin-accounts">Margin Regulation</a></li><li><a href="/rules-guidance/key-topics/market-access">Market Access</a></li><li><a href="/rules-guidance/key-topics/mergers-acquisitions-business-transfers">Mergers, Acquisitions & Business Transfers</a></li><li><a href="/rules-guidance/key-topics/municipal-advisor-regulation">Municipal Advisor Regulation</a></li><li><a href="/rules-guidance/key-topics/municipal-securities">Municipal Securities</a></li><li><a href="/rules-guidance/key-topics/mutual-funds">Mutual Funds</a></li><li><a href="/filing-reporting/market-transparency-reporting/order-audit-trail-system-oats">Order Audit Trail System (OATS)</a></li><li><a href="/filing-reporting/otc-transparency">OTC (ATS & Non-ATS) Transparency</a></li><li><a href="/filing-reporting/orf">Over-the-Counter Reporting Facility (ORF)</a></li><li><a href="/rules-guidance/key-topics/private-placements">Private Placements</a></li><li><a href="/rules-guidance/key-topics/protecting-investors-from-misconduct">Protecting Investors From Misconduct</a></li><li><a href="/rules-guidance/key-topics/public-offerings">Public Offerings</a></li><li><a href="/registration-exams-ce/qualification-exams">Qualification Exams</a></li><li><a href="/rules-guidance/key-topics/remote-inspections-pilot-program">Remote Inspections Pilot Program</a></li><li><a href="/rules-guidance/key-topics/research-analyst-rules">Research Analyst Rules</a></li><li><a href="/rules-guidance/key-topics/residential-supervisory-locations">Residential Supervisory Locations (RSLs)</a></li><li><a href="/filing-reporting/rule-4530-reporting-requirements">Rule 4530 Reporting Requirements</a></li><li><a href="/rules-guidance/key-topics/regulation-best-interest">SEC Regulation Best Interest (Reg BI)</a></li><li><a href="/rules-guidance/key-topics/security-futures">Security Futures</a></li><li><a href="/rules-guidance/key-topics/senior-investors">Senior Investors</a></li><li><a href="/rules-guidance/key-topics/social-media">Social Media</a></li><li><a href="/filing-reporting/regulatory-filing-systems/subordination-agreements">Subordination Agreements</a></li><li><a href="/rules-guidance/key-topics/suitability">Suitability</a></li><li><a href="/rules-guidance/key-topics/supervision">Supervision</a></li><li><a href="/rules-guidance/key-topics/tick-size-pilot-program">Tick Size Pilot Program</a></li><li><a href="/filing-reporting/trade-reporting-and-compliance-engine-trace">Trade Reporting and Compliance Engine (TRACE)</a></li><li><a href="/filing-reporting/trf/">Trade Reporting Facility庐 (TRF庐)</a></li><li><a href="/filing-reporting/market-transparency-reporting/uniform-practice-code-upc">Uniform Practice Code (UPC)</a></li><li><a href="/rules-guidance/key-topics/variable-annuities">Variable Annuities</a></li></ul></div></div> </div> </div> </div> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="row"> <div class="layout__region layout__region--bottom col-md-12"> <div class="block-region-bottom"></div> </div> </div> </div> </div> </article> </div> </div> </section> </main> </div> </div> </div> <div id = "article-columns" class="adjustable-columns"> </div> <footer id="FINRA_footer" class="site-footer"> <div class="container-fluid"> <div class="finra-footer--brand"> <section class="region region-footer-brand"> <a href="/" title="Home" rel="home" class="navbar-brand"> <img src="/themes/custom/finra_bootstrap_sass/images/FINRA_Logo.svg" alt="Home"> </a> </section> </div> <div 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