In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2012)
Regulatory Notice 12-32 notified the membership that effective July 23, 2012 the fees for New Membership Applications will be increased and of the implementation of a fee structure for Continuing … Continue reading Regulatory Notice 12-32
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 6/30/12)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending May 31, 2012) SIPC 7
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q2 2012)
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB … Continue reading MSRB Rule G-37 Reporting Requirement
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the … Continue reading NASD Rule 3050 Transactions for Associated Persons
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading FINRA Rule 3270 Outside Business Activities
Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction without first obtaining the prior written approval of the member firm. If … Continue reading NASD Rule 3040 Private Securities Transactions of an Associated Person
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 7/31/12)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 7/31/12)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending June 30, 2012) SIPC 7
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment … Continue reading SIPC Assessments (Year ending January 31, 2012) SIPC 6
http://www.finra.org/AboutFINRA/HolidaySchedule/
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the … Continue reading NASD Rule 3050 Transactions for Associated Persons
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading FINRA Rule 3270 Outside Business Activities
Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction without first obtaining the prior written approval of the member firm. If … Continue reading NASD Rule 3040 Private Securities Transactions of an Associated Person
For more information, click on Topics and or Registration. Space is limited and available on a first-come, first-served basis. Registration closes one business day prior to each program. On-site registrations … Continue reading District Compliance Meeting – District 3A (Denver)
This FINRA District Compliance Conference is located in Fort Lauderdale, FL at the Westin Ft Lauderdale. For more information, click on Topics and or Registration. Space is limited and available … Continue reading District Compliance Meeting – District 7 (Boca Raton)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 8/31/12)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 8/31/12)
This Compliance Conference is located in Austin, Texas at the Hilton Austin. For more information, click on Topics and or Registration. Space is limited and available on a first-come, first-served … Continue reading District Compliance Meeting – District 6 (Dallas)
The Dodd-Frank Investor Advisory Committee will meet at the SEC Headquarters in Washington DC, from 10AM till 4PM. See the Notice for more information on the agenda.
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending July 31, 2012) SIPC 7
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment … Continue reading SIPC Assessments (Year ending February 29, 2012) SIPC 6
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250
The SIFMA Municipal Bond Summit is located at the Conrad New York, New York, NY. For more information, click on Conference Information.
Effective October 1, 2012, the Trading Activity Fee (TAF) rate for transactions in covered security futures will decrease from $0.04 for each security futures contract traded on a round-turn basis … Continue reading Effective Date: Amended TAF Rates for Transactions in Covered Security Futures
FINRA posted an Election Notice to inform FINRA small firm members of the upcoming Small Firm Advisory Board (SFAB) election. Two seats on the SFAB are up for election: the North … Continue reading Small Firms Advisory Board Election – Nomination Deadline
This FINRA District Compliance Conference is located in Woodbury, NY at Fox Hollow. For more information, click on Topics and or Registration. Space is limited and available on a first-come, … Continue reading District Compliance Meeting – District 10 (Long Island)
This FINRA Half Day Compliance Boot Camp is located at the FINRA Philadelphia District Office. For more information, click on Topics and Registration.
In Regulatory Notice 12-39, FINRA requested comments on two issues relating to the dissemination of information on TRACE-eligible securities transactions. First, FINRA seeks input on whether it should maintain or modify … Continue reading Comment Period Expires – Trace Disseminiation Issues
For more information, click on Topics and or Registration. Space is limited and available on a first-come, first-served basis. Registration closes one business day prior to each program. On-site registrations … Continue reading District Compliance Meeting – District 2 (Los Angeles)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2012)
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the … Continue reading NASD Rule 3050 Transactions for Associated Persons
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading FINRA Rule 3270 Outside Business Activities
Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction without first obtaining the prior written approval of the member firm. If … Continue reading NASD Rule 3040 Private Securities Transactions of an Associated Person
The national securities exchanges and FINRA (collectively the SROs) together are hosting an industry event to discuss SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT). This … Continue reading SRO-Hosted Consolidated Audit Trail Industry Event
The national securities exchanges and FINRA (collectively the SROs) together are hosting an industry event to discuss SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT). This … Continue reading SRO-Hosted Consolidated Audit Trail Industry Event
This FINRA District Compliance Conference is located in Coral Gables, FL at The Westin Colonnade. For more information, click on Topics and or Registration. Space is limited and available on … Continue reading District Compliance Meeting – District 7 (Boca Raton)
This FINRA District Compliance Conference is located in Morristown, NJ at the Hyatt Morristown. For more information, click on Topics and or Registration. Space is limited and available on a … Continue reading District Compliance Meeting – District 9B (Woodbridge)
This FINRA District Compliance Conference is located in New York, NY at Bayard’s One Hanover Square. For more information, click on Topics and or Registration. Space is limited and available … Continue reading District Compliance Meeting – District 10 (New York)
FINRA reminds member firms that any person identified by a member firm as a Day-One Operations Professional who must pass the Series 99 or other appropriate qualification examination to qualify … Continue reading Deadline for Qualifiying for Day One Operations Principal
Date: October 22 - 24, 2012 The NSCP National Membership Meeting is located at the Washington Hilton, Washington, DC. For more information, click on Agenda and or Conference Information.
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 9/30/12)
The SIFMA 2012 Annual Meeting is located at the New York Marriott Marquis, New York, NY. For more information on the conference please click on Conference Information.
Date: October 25 - 26, 2012 FINRA's annual Advertising Regulation Conference is located in Washington DC. View the online brochure to learn more about this year's event. Discounted registration rates … Continue reading FINRA Annual Advertsing Regulation Conference
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 9/30/12) FINRA Rule 4524
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 8/31/2012)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending August 31, 2012) SIPC 7
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment … Continue reading SIPC Assessments (Year ending March 31, 2012) SIPC 6
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q3 2012)
MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual … Continue reading MSRB Rule A•14 (Annual Fee)
Beginning 11/1/2012 Firms may begin to submit post-dated Forms BDW, ADV-W and BR losing /Withdrawal with a date of December 31, 2012.
In Regulatory Notice 12-26, FINRA advised memebership that theThe SEC approved amendments to FINRA Rule 6700 Series and TRACE dissemination protocols regarding the reporting and dissemination of transactions in TRACE-eligible … Continue reading Effective Date: Amendment to Trace Reporting Requirements (Regulatory Notice 12-26)
This FINRA District Compliance Conference is located in New York, NY at Bayard’s One Hanover Square. For more information, click on Topics and or Registration. Space is limited and available … Continue reading District Compliance Meeting – District 10 (New York)
This FINRA Compliance Conference is located in Dallas, Texas at the Hilton Anatole. For more information, click on Topics and or Registration. Space is limited and available on a first-come, … Continue reading District Compliance Meeting – District 6 (Dallas)
Date: November 11 - 16, 2012 Designed for the high-potential executive, Week II of the FINRA Institute at Wharton program delivers a comprehensive and rigorous course of instruction on the … Continue reading FINRA Institute at Wharton – Week II Advanced Topics
Beginning November 12, 2012, Preliminary Renewal Statements are available for viewing and printing on Web CRD/IARD.
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the … Continue reading NASD Rule 3050 Transactions for Associated Persons
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading FINRA Rule 3270 Outside Business Activities
Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction without first obtaining the prior written approval of the member firm. If … Continue reading NASD Rule 3040 Private Securities Transactions of an Associated Person
The Securities and Exchange Commission will hold its 31st annual SEC Government-Business Forum on Small Business Capital Formation on November 15 at its Washington, D.C. headquarters. The forum will begin … Continue reading 2012 Annual SEC Government-Business Forum on Small Business Capital Formation
http://www.finra.org/AboutFINRA/HolidaySchedule/
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 10/31/12)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/12)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending September 30, 2012) SIPC 7
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment … Continue reading SIPC Assessments (Year ending April 30, 2012) SIPC 6
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250
In Regulatory Notice 12-38, FINRA advised memebership that the SEC approved amendments to FINRA Rule 4560 (Short-Interest Reporting). The amendments: (1) codify the requirement that member firms report only “gross” short … Continue reading Effective Date: Amendment to Short Interest Reporting (Regulatory Notice 12-38)
FINRA and the other ISG‐interested members have extended the effective date for compliance with certain new data elements identified in Regulatory Notice 12‐36 to May 1, 2013. The Order Execution … Continue reading Effective Date: Enhanced Electronic Blue Sheet Submissions
FINRA announced in Regulatory Notice 12-40 that the SEC has approved new FINRA Rule 5123 to require each FINRA member firm that sells an issuer’s securities in a private placement, … Continue reading Effective Date of FINRA Rule 5123 – Private Placement of Securities
This FINRA District Compliance Conference is located at the FINRA DC Headquarters Visitors Center. For more information, click on Topics and or Registration. Space is limited and available on a … Continue reading District Compliance Meeting – District 9A (Philadelphia)
FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Renewal Statements to FINRA by December 13, 2012, may cause the firm to become ineligible to do … Continue reading Preliminary Renewal Statement- Payment Due
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the … Continue reading NASD Rule 3050 Transactions for Associated Persons
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading FINRA Rule 3270 Outside Business Activities
Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction without first obtaining the prior written approval of the member firm. If … Continue reading NASD Rule 3040 Private Securities Transactions of an Associated Person
Final form filings must be submitted by 6 PM EST via Web CRD/IARD and electronic funds transfers must be submitted by 3PM.
http://www.finra.org/AboutFINRA/HolidaySchedule/
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 11/30/12)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/12)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending October 31, 2012) SIPC 7
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 10/31/2012)
Regulatory Notice 12-32 notified the membership of the implementation of a revised fee structure for Central Registration Depository and Branch Office Annual Registration Fees effective January 2, 2013.
Final Renewal Statements will be available online in Web CRD/IARD. If you have a renewal overpayment. it will be automatically transferred to your daily account in conjunction with year-end renewal … Continue reading Final Renewal Statement Availability
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2012)
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the … Continue reading NASD Rule 3050 Transactions for Associated Persons
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading FINRA Rule 3270 Outside Business Activities
Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction without first obtaining the prior written approval of the member firm. If … Continue reading NASD Rule 3040 Private Securities Transactions of an Associated Person
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 12/31/12)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 12/31/12)
FINRA Rule 1160 requires broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive … Continue reading Annual FCS Reporting for 2012
MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 … Continue reading Update Electronic Mail Contacts (MSRB G-40)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending November 30, 2012) SIPC 7
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/12) FINRA Rule 4524
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment … Continue reading SIPC Assessments (Year ending June 30, 2012) SIPC 6
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q4 2012)
Final Renewal Statements reflect year-end registration approvals for NASD broker/dealers. The payment for registrations which exceeded the preliminary payment amount requires additional fees paid in full to NASD by February … Continue reading Final Renewal Statement- Amount Due
FINRA has reorganized the rules regarding communication with the public with the introduction of FINRA Rule 2210 (“Rule”) effective February 4, 2013. The Rule has eliminated the categories of advertisement, … Continue reading Effective Date: New FINRA Rule 2210 Communication with the Public