The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month.   finra.complinet.com/en/display/display_main.html

The FINRA Institute at Wharton CRCP program, which is delivered through the Wharton School at the University of Pennsylvania, provides compliance, legal and regulatory professionals with an in-depth understanding of … Continue reading FINRA Institute at Wharton – Week I →

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 Net Capital Computation (Month ending 07/31/2013) →

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 Outside Business Activity Review (NASD Rule 3050) →

Unavailable Holiday Weekend

www.finra.org/AboutFINRA/HolidaySchedule

Monday, September 2 Unavailable Holiday – Labor Day  

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 … Continue reading District 6 (Dallas) Compliance Meeting →

The Municipal Securities Rulemaking Board (MSRB) today filed with the Securities and Exchange Commission revised amendments to MSRB Rule G-8, Rule G-11 and Rule G-32 on retail order periods.   … Continue reading MSRB Files with SEC Revised Amendments to MSRB Rules on Retail Order Periods →

Saturday, September 7 Available 8 a.m. – 6 p.m., ET  

529 'Essentials' Seminar / September 9, 2013 529 Conference/ September 10-11, 2013 JW Marriott, Orlando Building off of the exceptional foundation that Joe Hurley and SavingforCollege.com have established over the past … Continue reading MSRB 529 Seminar & Conference →

The Commitee on Financial Services Wednesday, September 11 @2:30PM Monetary Policy and Trade Chairman Jeb Hensarling Click here for the Committee Memorandum. Witness List Dr. Allan H. Meltzer, Professor of … Continue reading Government Financial Hearing entitled “The Fed Turns 100: Lessons Learned over a Century of Central Banking” →

Saturday, September 14 Available 8 a.m. – 6 p.m., ET  

2013 Foundations of Web CRD/IARD Training Sessions Conference Dates: September 16 & 17, 2013   8 a.m. - 5 p.m. ET, both days Fee:  $500.00 Location: FINRA 9509 Key West … Continue reading FINRA 2013 Foundations of Web CRD/IARD →

FINRA Issues New Investor Alert: Private Placements—Evaluate the Risks Before Placing Them in Your Portfolio WASHINGTON—The Financial Industry Regulatory Authority (FINRA) issued a new investor alert to caution investors that investing … Continue reading FINRA Issues New Investor Alert: Private Placements →

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html

Saturday, September 21 Unavailable Scheduled Maintenance

Saturday, September 21 Unavailable Scheduled Maintenance  

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 Net Capital Computation ( Month ending 08/31/2013) →

38th Bond Attorneys' Workshop Sep 25–27, 2013 Sheraton Chicago Hotel & Towers Chicago, Illinois For registration information and workshop highlights: http://www.nabl.org/education/event/bond-attorney-workshop   STAY ON TOP OF BEST PRACTICES AND NEW … Continue reading 38th Bond Attorney’s Workshop →

What: Luncheon or may participate in webinar Where: SIFMA Conference Center 120 Broadway, NYC When: September 26, 2013 12:00-2:00 PM This session will feature: An overview of today's Financial Regulations … Continue reading SIFMA Customer Protection and Regulation Overview Luncheon/Webinar →

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 Outside Business Activity Review (NASD Rule 3050) →

Saturday, September 28 Available 8 a.m. – 6 p.m., ET  

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 Review and update Firm Element Continuing Education Plan →

We cordially invite you to attend the SIFMA Compliance & Legal Society Charlotte Regional Seminar to be held at The Ritz-Carlton on September 30th, 2013. This one day seminar will … Continue reading SIFMA Compliance & Legal Society Charlotte Regional Seminar →

Mark your calendar and plan to attend the 2014 FINRA Annual Conference to hear the latest regulatory developments and FINRA priorities, and gain practical guidance on compliance issues. Register by … Continue reading 2014 FINRA Annual Conference Registration Information →

FINRA assesses an annual support fee to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB”). The fee is assessed on a quarterly basis and is based … Continue reading Quarterly GASB Accounting Support Fee →

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 5131 (New Issue Allocations and … Continue reading Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions): Comment Deadlline →

As a reminder, October 4 is the nomination deadline for upcoming elections to fill one seat on the Small Firm Advisory Board and vacancies on FINRA District Committees. The SFAB … Continue reading Nominations Due October 4: SFAB and District Committees →

Saturday, October 5 Available 8 a.m. – 6 p.m., ET  

FINRA's next free webinar is on October 8, 2013, at 1 p.m. (ET). During the 60-minute program FINRA staff and industry experts will discuss the implementation of the suitability rule … Continue reading FINRA Webinar—Suitability: Findings and Industry Practices →

Compliance Boot Camps FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities … Continue reading FINRA Half-Day Compliance Boot Camp →

Date: October 9 - 11, 2013 For specific information about the NAIPFA Annual Conference: Annual Conference Packet including Registration Form Annual Conference Registration Form for Non-Municipal Advisor and Non-Sponsor Attendees … Continue reading NAIPFA Annual Conference →

October 10–11, 2013 Renaissance Washington, DC Downtown Hotel 999 Ninth Street, NW Washington, DC 20001 FINRA's annual Advertising Regulation Conference provides practical guidance on complying with advertising rules and regulations … Continue reading FINRA Advertising Regulation Conference →

Saturday, October 12 Available 8 a.m. – 6 p.m., ET  

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 2013) →

The SIFMA Market Structure Conference is the industry's leading event for navigating today's fast, highly-fragmented and complex markets and the regulatory framework that governs them. Join your colleagues as leading … Continue reading SIFMA Market Structure Conference →

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html

Saturday, October 19 Available 8 a.m. – 6 p.m., ET  

Date: October 21 - 23, 2013 What: National Society of Compliance Professionals 2013 National Meeting The Securities Compliance Industry’s Most Comprehensive Educational Meeting: 80+ Topics encompassing Investment Adviser, Broker-Dealer, Private … Continue reading 2013 NSCP National Meeting →

As a reminder, the SEC adopted amendments to the net capital, customer protection, books and records, and notification rules (SEA Rules 15c3-1, 15c3-3, 17a-3, 17a-4 and 17a-11), and amended annual … Continue reading Update: New SEC Financial Responsibility Rules →

FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules-and related forms for SEC—registered funding portals that become FINRA members pursuant to the … Continue reading Funding Portal Rules-Comments Requested →

FINRA seeks comment on a revised proposal to transfer the NASD Rule 1010 Series (Membership Proceedings), with substantive changes, into the Consolidated FINRA Rulebook as the FINRA Rule 1100 Series … Continue reading FINRA Requests for Comments: Regulatory Notice 10-1 →

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Fall 2013 Firm Element Advisory (FEA). The Council … Continue reading Regulatory Notice 13-3 Securities Industry/Regulatory Council on Continuing Educaion Issues Firm Element Advisory Update →

The Municipal Securities Rulemaking Board (MSRB) Board of Directors meets October 23-25, 2013, where it will discuss the following rulemaking topics.* A summary of actions taken by the Board at … Continue reading MSRB Board of Directors Meeting Agenda →

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 Outside Business Activity Review (NASD Rule 3050) →

Saturday, October 26 Unavailable Web CRD/IARD Software Release 2013.4  

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 … Continue reading Regulatory Notice 13-28: FINRA Revises the Series 16 Examination Program →

Effective October 28, 2013, new entitlement privileges will be added to Web CRD/IARD as additional safeguards to viewing sensitive or confidential data. Please review the entitlement privileges page to learn … Continue reading New Entitlement Privileges for Web CRD/IARD →

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 08/31/2013) →

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) →

Please be advised that if the broker-dealer is registered in the State of Illinois, you will receive (or have received) a 2 page letter from Illinois requesting verification that the … Continue reading Illinois Renewal for Dealers →

FINRA seeks comment on a revised proposal to transfer the NASD Rule 1010 Series (Membership Proceedings), with substantive changes, into the Consolidated FINRA Rulebook as the FINRA Rule 1100 Series … Continue reading Deadline for FINRA Request for Comment: Notice 10-01 →

Date: November 10 - 15, 2013 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 →

Beginning November 11,2013, Preliminary Renewal Statements are available for viewing and printing on Web CRD/IARD.

Date: November 11 - 12, 2013 Our Annual Meeting brings leaders of the financial services industry together with prominent policymakers, thought leaders and financial media. Featuring keynote speakers President Bill … Continue reading SIFMA Annual Meeting & Tribute Dinner 2013 →

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html

Notice of FINRA District Committee Elections and Ballots Ballots Due: November 15, 2013 Executive Summary The purpose of this Notice is to inform firms of the upcoming elections to fill … Continue reading Notice of FINRA District Commitee Elections & Ballots →

Notice of SFAB Election and Ballots Ballot Due Date: November 15, 2013 Executive Summary The purpose of this Notice is to distribute to eligible FINRA small firms the ballots to … Continue reading Notice of SFAB Election & Ballots →

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 Net Capital Computation (Month ending 10/31/2013) →

Date: November 28, 2013 www.finra.org/AboutFINRA/HolidaySchedule

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 Outside Business Activity Review (NASD Rule 3050) →

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 09/30/2013) →

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 … Continue reading District 9A (Philadelphia) District Compliance Meeting →

Click here for our latest renewal update FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Renewal Statements to FINRA by December 13, 2013, may cause … Continue reading Final Renewal Statement Payment →

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html

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 Net Capital Computation (Month ending 11/30/2013) →

Web CRD and IARD are available on an abbreviated schedule from 7 a.m. until 1 p.m., ET, due to the holiday schedule.

www.finra.org/AboutFINRA/HolidaySchedule

DEADLINE to submit form filings prior to year-end is 3p.m., ET via Web EFT and 6 p.m., ET, via Web CRD and IARD. Web CRD and IARD are available from … Continue reading Annual Deadline to Submit Form Filings with CRD/IARD →

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 Outside Business Activity Review (NASD Rule 3050) →

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 Review and update Firm Element Continuing Education Plan →

Date: December 31, 2013

www.finra.org/AboutFINRA/Holiday Schedule

FOR IMMEDIATE RELEASE 2013-274 Washington D.C., Dec. 27, 2013 —The Securities and Exchange Commission today announced that it has adopted amendments to eliminate references in certain of its rules and … Continue reading SEC News: SEC Removes References to NRSRO Ratings in Certain Rules and Forms →

Click here for the latest renewal information Final Renewal Statements will be available online in Web CRD/IARD. If you have a renewal overpayment. It will be automatically transferred to your … Continue reading Final Renewal Statement Availability →

Web CRD & IARD are available with complete functionality as of 7 a.m. ET, including submitting form filings and approving registrations. All renewal overpayments are automatically transferred to firms' Daily … Continue reading Web CRD & IARD Available →

The SEC requests comment on a proposal to amend the Uniform Branch Office Registration Form to (1) eliminate Section 6 (NYSE Branch Information), which is currently applicable only to NYSE-registered … Continue reading SEC Requests Comments: Uniform Branch Registration Form →

FINRA and the Wharton School offer the Certified Regulatory and Compliance Professional (CRCP) Program—an executive education experience that covers the theory and practical application of securities laws and regulation through … Continue reading Registration Date for lower rates to the CRCP Program at Wharton →

The SEC requests comment on a proposal to add a new entrant, LavaFlow, to the Alternative Display Facility. The comment period expires January 7, 2014. See the Federal Register notice.

Beginning November 11,2013, Preliminary Renewal Statements are available for viewing and printing on Web CRD/IARD. FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Renewal Statements … Continue reading Full Payment of Final Renewal Due →

The Municipal Secuities Rulemaking Board ( MSRB) is seeking comments on proposed amendments to Rule G-3 , rule G-27, and Rule G-7 to require all associated persons primarily  engaged in … Continue reading MSRB Requests Comments to Proposed Changes to C.E. Program →

Join in on January 14th for an afternoon seminar on the compliance and legal considerations that impact cross border activity in the global marketplace. Financial service providers and the investors … Continue reading SIFMA Event: Cross Border Regulation in the Global Marketplace →

Join SIFMA’s next Securitization Spotlight Session on January 14, 2014, from 8:00 AM to 10:00 AM. This Spotlight Session will focus on the industry-wide efforts to successfully implement the Treasury Market Practices … Continue reading SIFMA Event: Securitization Spotlight Session →

FOR IMMEDIATE RELEASE 2013-275 Washington D.C., Dec. 27, 2013 —The Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and … Continue reading SEC News: Agencies Reviewing Volcker Rule →

The SEC requests comment on a proposal to update the rules governing the Alternative Display Facility (ADF) to, among other things, reflect regulatory requirements that have been put into place … Continue reading SEC Requests Comments: Alternative Display Facility →

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html

ORF Migration Conference Call January 22, 2014 2 p.m. – 3 p.m. ET On April 28, 2014, the OTC Reporting Facility (ORF) is scheduled to migrate to new technology. On … Continue reading FINRA ORF (OTC Reporting Facility) Migration of Technology Conference Call →

The CFTC Recordkeeping rules came into effect earlier this year. Hear from industry experts on what you need to know to ensure your firm is in compliance.  Topics include: CFTC … Continue reading SIFMA Event: New CFTC Voice Recording & Recordkeeping Rules →

The Municipal Securities Rulemaking Board (MSRB) will host a public education and outreach seminar for municipal market professionals in Atlanta, Georgia on January 28, 2014. The MSRB, which oversees the … Continue reading MSRB Event: Public Education & Outreach Seminar in Atlanta →

SIFMA's 14th Annual Anti-Money Laundering and Financial Crimes Conference will bring together leading experts from the securities industry, regulatory agencies and law enforcement to discuss recent developments in the anti-money laundering space … Continue reading SIFMA Event: 2014 Annual AML and Financial Crimes Conference →

Text: 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 … Continue reading Outside Business Activity Review (NASD Rule 3050) →

Deadline for receipt of FINAL Renewal Statement payments and reporting any Renewal Discrepancies.

FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules-and related forms for SEC—registered funding portals that become FINRA members pursuant to the … Continue reading Funding Portal Rules Comments Request Deadline →

FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules-and related forms for SEC—registered funding portals that become FINRA members pursuant to the … Continue reading FINRA Requests Comments: Funding Portal Rules →

13-43: SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds; Effective Date: February 3, 2014

Options Regulation Conference February 6, 2014 1 p.m. to 3 p.m. Central Time In-Person or Conference Call FINRA’s Market Regulation department is hosting a free two-hour conference to discuss regulatory … Continue reading FINRA offers Options Regulation Conference →

www.finra.org/AboutFINRA/Holiday Schedule

FINRA is requesting comment on a concept proposal to develop a new Comprehensive Automated Risk Data System (CARDS), a rule-based program that would allow FINRA to collect on a standardized, … Continue reading FINRA Requests Comments: Comprehensive Automated Risk Data System (CARDS) →