In FINRA Notice to Members 15-08 , FINRA noted that it regularly conducts a comprehensive review of the examination fee structure, including an analysis of the costs associated with developing, administering and delivering each examination, so that FINRA may better understand whether pricing changes are warranted and evaluate the financial condition of each qualification examination … Continue reading Regulatory Notice: Effective Date for Changes to Qualification Examination Fees→
The Westin
Michigan Avenue, Chicago, IL, United States
The SIFMA Private Client Conference is North America's leading event designed specifically for financial professionals who service the individual investor. Register now to hear from top industry leaders on tactical ways to enhance client service, advice and trust to help investors achieve their financial goals. Why You Should Attend: STRONG INDUSTRY PRESENCE - Senior Wealth … Continue reading SIFMA: Private Client Conference 2015→
DoubleTree Hotel St. Louis at Westport
1973 Craigshire, St. Louis, MO, United States
St. Louis, MO :: April 9, 2015 :: DoubleTree Hotel St. Louis at Westport This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry. Our workshops and labs are led by experienced industry veterans and legal professionals who focus … Continue reading NSCP: 2015 Regional Conference – St. Louis, MO→
In an era of heightened SEC enforcement, do you know when the SEC will hold you personally liable for employee misconduct? How do you protect yourself and how can compliance automation help you mitigate liability?Join NSCP and Compliance Science for a webinar discussion on CCO Liability and how compliance automation can help on April 21st … Continue reading NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program→
AMA Conference Center
1601 Broadway, New York, NY, United States
New York, NY :: April 28, 2015 :: AMA Conference Center This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry. Our workshops and labs are led by experienced industry veterans and legal professionals who focus on the … Continue reading NSCP: 2015 Regional Conference – New York, NY→
This podcast is the second in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Spring 2015 Firm Element Advisory.
SIFMA Conference Center
New York City, NY, United States
The Next Generation of Financial Advisors Seminar will provide a forum to discuss the numerous opportunities to recruit and train the next generation of financial advisors. Speakers and panelists will discuss innovative ideas and tactical approaches, including: Enhancing Education: How can the industry increase college and university offerings to create a buzz around the profession … Continue reading Next Generation of Financial Advisors Seminar→
Marriott Marquis
901 Massachusetts Avenue NW, Washington, D.C., DC, United States
FINRA's Annual Conference provides compliance professionals, securities attorneys, and other industry leaders with the opportunity to hear regulatory priorities and share compliance solutions. Click here for further details. FINRA Annual Conference May 27 – 29, 2015 Washington, DC Registration is now open to attend the 2015 FINRA Annual Conference in person or via live broadcast. The … Continue reading 2015 FINRA Annual Conference→
Fairmont Miramar Hotel & Bungalows
101 Wilshire Boulevard, Santa Monica, CA
Registration is now open for FINRA's Small Firm Conference, which focuses on small firms' practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule. Topics featured at least … Continue reading FINRA Small Firm Conference Registration – California→
GFOA’s conference program will feature a broad range of sessions covering all aspects of state and local government finance, with something for everyone! Speakers will include leading public-sector practitioners; experts from the auditing, banking, consulting, and technology industries; and leading academics and researchers at the forefront of the public finance profession. The GFOA’s annual conference … Continue reading Government Finance Officers Association: 109th Annual Conference→
The annual meeting of FINRA firms will take place on or about Thursday, July 30, 2015, to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed … Continue reading FINRA Board of Governors Election: Petitions for Candidacy Due→
Atlanta District Office
One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Suitability & Managing Conflicts→
During this free webinar, MSRB staff will provide a review of the content outline for the first qualifying exam for municipal advisors and instructions on how to register for the pilot exam. To register for the webinar, click here.
The Westin Lombard Yorktown Center Lilac Meeting Room
70 Yorktown Shopping Center, Lombard, IL, United States
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. - See more at: Regional Event.
Join industry and regulatory leaders in Chicago on June 17-19 for the latest economic developments as well as important updates on accounting, tax rules and proposals, and regulations. New to the 2015 SIFMA FMS Regional Conference program is the Treasury Panel and a look at the new SEC 17a-5 Compliance Reporting requirements. The Regulator Panel … Continue reading 2015 SIFMA FMS Regional Conference→
Join SIFMA to hear about the industry efforts to roll out Volcker Rule compliance programs as the industry approaches the July 21, 2015 compliance date for the Volcker Rule. The webinar will feature expert panelists who will address issues related to both the proprietary trading and covered funds provisions of the Volcker Rule. A question … Continue reading Volcker Implementation Webinar: Countdown to Compliance→
FINRA Boca Raton District Office
5200 Town Center Circle Suite 200, Boca Raton, FL, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Cybersecurity and Supervision→
Omni Los Angeles Hotel at California Plaza
251 South Olive Street, Los Angeles, CA, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections→
Westin Galleria
5060 West Alabama, Houston, TX, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections→
Only a few weeks remain for you to enroll in the initial course of the FINRA Institute at Wharton Certified Regulatory and Compliance ProfessionalTM (CRCPTM) program. Week I: Foundation takes place July 12 – 17, 2015, on the Wharton campus in Philadelphia, and focuses on case studies and interactive discussions designed to provide participants with … Continue reading FINRA Institute at Wharton CRCP Program Week I→
SEC Washington D.C. headquarters
100 F Street N. E., Washington D.C., DC, United States
WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The program is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance structures. The … Continue reading SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers→
The Langham Boston Hotel
250 Franklin Street, Boston, MA, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Suitability→
FINRA Chicago District Office
55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections→
Marriot New York Downtown
85 West Street, New York City, TX, United States
The Municipal Securities Rulemaking Board (MSRB) and the Municipal Forum of New York will host an education and outreach seminar on July 28, 2015 from 3:00 p.m.-5:30 p.m. at the Marriott New York Downtown, Grand Ball Room, 85 West Street, New York, NY. A reception will follow. The event will highlight the municipal market’s past, present and … Continue reading MSRB and Municipal Forum of New York Education and Outreach Seminar→
Charlotte Convention Center
501 S. College Street, Charlotte, NC, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Suitability and Managing Conflicts of Interest→
As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.
This webinar will discuss the unique needs of senior investors, steps your firm should take when working with this growing demographic, and the serious implications of FINRA and the SEC’s recent influx of disciplinary actions and investor alerts. Please join the discussion July 30 at 1pm.
As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.
Hilton Del Mar
15575 Jimmy Durante Blvd., Del Mar, CA, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections→
FINRA New Jersey District Office
581 Main Street - 7th Floor, Woodbridge, NJ, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Managing Conflicts of Interest→
Renaissance St. Louis Grand Hotel
800 Washington Avenue, St. Louis, MO, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections→
On the surface, the automated compliance library can appear to be smooth sailing. But when you look below the surface, do you really know what lies beneath? Uncontrolled library growth, inconsistent interpretation of mandates, rules that don’t match actual trading activity or regulations, false positives, excessive overrides and data issues are just a few of … Continue reading NSCP Offers Free Webinar: Managing Investment Compliance→
SIFMA Conference Center
New York City, NY, United States
Stephen Luparello, SEC Director of Trading and Markets, will deliver the keynote address at the T+2 Symposium: The Road to a Shortened Settlement Cycle, in NYC on Sept. 17. Senior operations, technology, legal and compliance, risk, and corporate actions professionals, as well as service providers and regulators, will discuss the industry's progression from the selection … Continue reading SIFMA: T + 2 Symposium→
FINRA Boca Raton District Office
5200 Town Center Circle Suite 200, Boca Raton, FL, United States
FINRA Half-day Compliance Boot Camp focuses on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
Rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to establish an administration and delivery fee for the new Municipal Advisor Representative Examination (“Series 50 examination”). Click here for full discussion of rule change.
Gaylord National Harbor Resort & Convention Center
201 Waterfront Street, National Harbor, MD, United States
September 22, 2015 is the last day to register for the National Society of Compliance Professional's Annual National Conference. Click here to register and get more information.
Walter E. Washington Event Center
801 Mount Vernon Place NW, Washington, D.C., United States
The 2015 OFAC Fall Symposium will be held in Washington, DC on September 22, 2015. The symposium will provide a comprehensive review of current U.S. economic sanctions. It will include presentations on OFAC regulations, as well as targeted reviews of sanctions concerns for new and updated OFAC-administered programs.
Union Square Conference Center
Suite 5121/5122 601 Union Street, 51st Floor , Seattle, WA, United States
FINRA Half-day Compliance Boot Camp focuses on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
FINRA New York District Office
Brookfield Place 200 Liberty Street, New York, United States
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Half-Day Compliance Boot Camp: New York→
FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject matter the examinations cover. Based on this review process, FINRA has revised the Registered Options Principal (Series 4) examination program. The changes are reflected in … Continue reading FINRA Revises the Series 4 Examination Program→
