You are invited to attend the NSCP's annual National Conference for the most comprehensive educational offering within the financial services industry covering over 80 topics, encompassing broker-dealer, investment adviser, investment … Continue reading NSCP: National Society of Compliance Professionals
Amendments to the TRACE reporting rules were approved by the SEC to the to permit FINRA to implement a new contra-party type for use by firms in identifying transactions with … Continue reading Amendments to Trace Reports Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports – Effective Date
Firms may begin to submit post dated Firms BDW and ADV-W, which must be dated 12/31/2015.
The SEC approved amendments to FINRA rules for Cease & Desist Orders. The new rules and amendments lower the evidentiary standard to impose a temporary cease and desist order (TCDO); created a new expedited proceeding for repeated failures to comply with a TCDO or a permanent cease and desist order (PCDO); harmonized the provisions governing how documents are served in temporary cease and desist and expedited proceedings; clarified FINRA’s authority to impose a PCDO; and ease FINRA’s administrative burden in temporary cease and desist proceedings. The amendments become effective on November 2, 2015.