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 FINRA Annual Conference May 19 – 21, 2014 Washington, DC →

The SEC was established 80 years ago on June 6, 1934, when President Franklin Delano Roosevelt signed the Securities Exchange Act of 1934 into law. The SEC's mission then and … Continue reading SEC Celebrates 80th Anniversary →

SIFMA Tech 2014 convened industry leaders, regulators and solution providers to explore pressing industry issues and their solutions. The event offered critical updates and expert outlooks that will help you … Continue reading SIFMA Tech 2014 →

Regulatory Notice 14-25 FINRA Announces Updates of the Interpretations of Financial and Operational Rules Executive Summary FINRA is updating the imbedded text of Securities Exchange Act (SEA) reporting rules for … Continue reading FINRA Announces Updates of the Interpretations of Financial and Operational Rules →

Release Date: June 25, 2014 Contact: Carol Danko, 202.962.7390, cdanko@sifma.org SIFMA Statement on SEC Approval of Cross-Border Swaps Rules Washington, D.C., June 25, 2014 - SIFMA today released the following … Continue reading SIFMA Statement on SEC Approval of Cross-Border Swaps Rules →

Washington D.C., June 25, 2014 — The Securities and Exchange Commission today adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants.  … Continue reading SEC Adopts Cross-Border Security-Based Swap Rules →

www.finra.org/AboutFINRA/HolidaySchedule

Regulatory Notice 14-26 New Payments for Market Making Certification Requirement for FINRA Form 211 Effective Date: July 7, 2014 Executive Summary FINRA is issuing this Regulatory Notice to remind firms … Continue reading New Payments for Market Making Certification Requirement for FINRA Form 211 →

Regulatory Notice 14-30 SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses Effective … Continue reading SEC Approves Amendments to FINRA Rule 2210 →

Washington, DC, July 11, 2014 - SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the "Cybersecurity Information Sharing Act of 2014" (S. 2588), … Continue reading SIFMA Statement on ‘Cybersecurity Information Sharing Act’ →

Release Date: July 14, 2014 Contact: Liz Pierce, 212.313.1173, lpierce@sifma.org SIFMA Publishes Recommendations for Enhancing Fairness, Stability and Transparency in US Equity Markets New York, NY, July 14, 2014– SIFMA … Continue reading SIFMA Publishes Recommendations for Enhancing Fairness, Stability and Transparency in US Equity Markets →

Release Date: July 16, 2014 Contact: Alison Hawkins (FSR), 202.589.2427, Alison.Hawkins@FSRoundtable.org Liz Pierce (SIFMA), 212.313.1173, lpierce@sifma.org Laena Fallon (FSF), 202.457.8765, laena.fallon@financialservicesforum.org Sean Oblack (TCH), 202.649.4629, sean.oblack@theclearinghouse.org John Hall (ABA), 202.663.5473, jhall@aba.com Financial … Continue reading Financial Industry: Cybersecurity is a Top Priority for Protecting Customers →

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today the formation of a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum to improve the transparency, … Continue reading FINRA Announces Arbitration Task Force →

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

Today, the MSRB filed a rule change with the Securities and Exchange Commission to require that dealers provide Firm Element continuing education annually on municipal securities for registered representatives and … Continue reading MSRB Files Rule Change with SEC for Continuing Education Requirements for Municipal Securities Dealers →

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that the Securities and Exchange Commission (SEC) has approved a new rule prohibiting firms and registered representatives from conditioning settlement … Continue reading SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungements →

Release Date: July 23, 2014 Contact: Liz Pierce, 212.313.1173, lpierce@sifma.org Washington, DC, July 23, 2014- SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, … Continue reading SIFMA Statement on SEC Money Market Fund Reform →

Washington D.C., July 23, 2014 — The Securities and Exchange Commission today adopted amendments to the rules that govern money market mutual funds.  The amendments make structural and operational reforms … Continue reading SEC Adopts Money Market Fund Reform Rules →

The Municipal Securities Rulemaking Board (MSRB) today released for public comment a revised draft rule to establish the core duties of municipal advisors when providing advice on municipal securities transactions … Continue reading MSRB Releases Revised Draft Rule G-42 and Board Meeting Discussion Items →

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 06/30/2014) →

Date: July 24, 2014 Contact: Jennifer A. Galloway, Chief Communications Officer (703) 797-6600 jgalloway@msrb.org MSRB SEEKS APPROVAL TO IMPLEMENT SUPERVISION RULE FOR MUNICIPAL ADVISORS   Alexandria, VA – In a major … Continue reading MSRB Seeks Approval to Implement Supervision Rule for Municipal Advisors →

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) →

Date: July 25, 2014 Contact: Jennifer A. Galloway, Chief Communications Officer (703) 797-6600 jgalloway@msrb.org MSRB TO MAKE KROLL BOND RATINGS AVAILABLE TO THE PUBLIC THROUGH ITS EMMA WEBSITE   Alexandria, … Continue reading MSRB to Make Kroll Bond Ratings Available to the Public through its EMMA Website →

SIFMA Submits Comments to the Securities and Exchange Commission on FINRA's Arbitrator Definition: SIFMA supported the proposal, claiming, “the dual components of the Proposal thus collectively ensure a balanced approach … Continue reading SIFMA Submits Comments to the Securities and Exchange Commission on FINRA’s Arbitrator Definition →

Alexandria, VA – To facilitate access by municipal securities investors, state and local governments and others interested in the municipal market to free, objective educational resources, the Municipal Securities Rulemaking Board … Continue reading MSRB Creates Online Education Center to House Digital Resources about the Municipal Market →

Regulatory Notice 14-27 SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution Effective Date: July 28, 2014 … Continue reading SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution →

Conference Center New York, NY On Tuesday, July 29, SIFMA will host a Consolidated Audit Trail (CAT) Bidder Summit to provide a forum for the six CAT bidders to share … Continue reading SIFMA Consolidated Audit Trail Bidder Summit →

MSRB Education and Outreach Seminar Tuesday, July 29, 2014, 2:00 p.m. – 5:00 p.m. CT Conrad Hotel, 521 North Rush Street Chicago, IL 60611 The MSRB will host a public … Continue reading MSRB – Education and Outreach Seminar in Chicago, IL →

Regulatory Notice 14-31 SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information Effective Date: July 30, 2014 Executive Summary The SEC has approved FINRA … Continue reading SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information →

SIFMA Announces Cybersecurity Resources for Small Firms: Cyber attacks, a real threat to our economic and national security, do not discriminate based on firm size: cybersecurity firm Symantec reports that … Continue reading SIFMA Announces Cybersecurity Resources for Small Firms →

6SIFMA and Other Associations Submit Comments to the Securities and Exchange Commission on Structure of MCDC: SIFMA suggested adjusting MCDC’s 5‐10 year look‐back period to determine whether or not issuers … Continue reading SIFMA and Other Associations Submit Comments to the Securities and Exchange Commission on Structure of MCDC →

Election Notice 8/1/14 FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 15, 2014 Executive Summary The purpose of this Election … Continue reading FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council →

SR-FINRA-2014-028 Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission … Continue reading FINRA Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator →

The SEC requests comment on a proposal to adopt additional rules addressing quotation requirements for unlisted equity securities and to delete the OTC Bulletin Board rule series and discontinue operation … Continue reading SEC Requests for Comment on FINRA Rules – to Adopt Additional Rules addressing quotation requirements →

SR-FINRA-2014-026 Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees Financial … Continue reading FINRA Proposed Rule Change to Amend the Codes of Arbitration Procedures →

C & L Regional Seminar:  August 6, 2014 -  Charles Schwab Convention Center - San Francisco We cordially invite you to attend the SIFMA Compliance & Legal Society San Francisco … Continue reading SIFMA Compliance and Legal Society San Francisco Regional Seminar →

Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today announced new officers and Board of Directors members who will begin their terms on October 1, 2014. The Board makes … Continue reading MSRB Announces New Officers and Board Membersfor Fiscal 2015 →

The Municipal Securities Rulemaking Board’s (MSRB) request for approval from the Securities and Exchange Commission (SEC) of a proposal to amend MSRB Rule G-3 has been published in the Federal … Continue reading MSRB Filing Rule Change to Rule G-3 on Professional Qualification Requirements →

The Municipal Securities Rulemaking Board’s (MSRB) request for approval from the Securities and Exchange Commission (SEC) of proposed MSRB Rule G-44, on supervision and compliance obligations of municipal advisors, and … Continue reading MSRB Request for Approval from SEC of proposed Rule G-44 has been published in the Federal Register →

Regional Compliance Events Midwest Des Moines, IA: Compliance Meeting: August 26 North Stamford, CT: Half-Day Compliance Boot Camp: August 7 Woodbridge, NJ: Half-Day Compliance Boot Camp: August 14 South Dallas, … Continue reading FINRA Regional Compliance Meeting for the Northeast →

In April, FINRA initiated a retrospective rule review by issuing two Regulatory Notices (14-14 and 14-15) requesting comment on the effectiveness and efficiency of FINRA's communications with the public rules, … Continue reading FINRA – Retrospective Rule Review Surveys →

The second-quarter data tables for the TRACE Fact Book are now available. The tables include aggregated information for securitized products as well as corporate and agency debt securities, including trades … Continue reading 2Q 2014 TRACE Fact Book Now Available →

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 FINRA and the Wharton School offer CRCP Program →

Regional Compliance Events Midwest Des Moines, IA: Compliance Meeting: August 26 North Stamford, CT: Half-Day Compliance Boot Camp: August 7 Woodbridge, NJ: Half-Day Compliance Boot Camp: August 14 South Dallas, … Continue reading FINRA Regional Compliance Meeting for the South – Half-Day Compliance Boot Camp →

The SEC requests comment on an amendment to a proposal relating to per share estimated valuations for unlisted DPP and REIT securities. The comment period expires August 12, 2014. See … Continue reading SEC Requests for Comment on an Amendment Relating to Per Share Estimated Valuations →

Regulatory Notice 14-32 FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer” Implementation Date: August 12, 2014 Executive Summary FINRA has amended the definition of “Hearing Officer” to … Continue reading FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer” →

Regional Compliance Events Midwest Des Moines, IA: Compliance Meeting: August 26 North Stamford, CT: Half-Day Compliance Boot Camp: August 7 Woodbridge, NJ: Half-Day Compliance Boot Camp: August 14 South Dallas, … Continue reading FINRA Regional Compliance Meeting for the Northeast →

Regional Compliance Events Midwest Des Moines, IA: Compliance Meeting: August 26 North Stamford, CT: Half-Day Compliance Boot Camp: August 7 Woodbridge, NJ: Half-Day Compliance Boot Camp: August 14 South Dallas, … Continue reading FINRA Regional Compliance Meeting for the South – Half-Day Compliance Boot Camp →

August 14, 2014 3:30 p.m. – 4:30 p.m. ET The MSRB will host an educational webinar on its recently released request for comment on a revised draft rule to establish … Continue reading MSRB Webinar: Request for Comment on Revised Draft MSRB Rule G-42, Duties of Non-Solicitor Municipal Advisors →

As a reminder, ballots for FINRA's election to fill one small firm seat and one large firm seat on the FINRA Board of Governors must be submitted prior to the … Continue reading FINRA BOARD OF GOVERNORS ELECTION →

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

SIFMA's Asset Managers Forum will host the next Buy-Side Academy on Monday, August 18, focusing on the operational impact of moving to a T+2 settlement cycle in Europe, which will be … Continue reading SIFMA Asset Managers Forum →

Regulatory Notice 14-28 SEC Approves FINRA Rule Concerning Self-Trades Effective Date: August 25, 2014 Executive Summary The SEC approved new supplementary material to FINRA Rule 5210 (Publication of Transactions and … Continue reading SEC Approves FINRA Rule Concerning Self-Trades →

Regional Compliance Events Midwest Des Moines, IA: Compliance Meeting: August 26

The Municipal Securities Rulemaking Board’s (MSRB) request for approval from the Securities and Exchange Commission (SEC) of a proposal to amend MSRB Rule G-3 has been published in the Federal … Continue reading MSRB Deadline for Comments to Rule Change Request for Rule G-3 →

The Municipal Securities Rulemaking Board’s (MSRB) request for approval from the Securities and Exchange Commission (SEC) of proposed MSRB Rule G-44, on supervision and compliance obligations of municipal advisors, and … Continue reading MSRB Request for Approval from SEC of proposed Rule G-44 has been published in the Federal Register →

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) →

www.finra.org/AboutFINRA/HolidaySchedule

Regulatory Notice 14-29 FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information Comment Period Expires: September 2, 2014 Executive Summary FINRA is … Continue reading FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information →

Information Notice 7/10/14 Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session Effective: September 8, 2014 … Continue reading FINRA Information Notice: Revised Process for Candidates Whose Primary Language Is Not English →

www.sifma.org/blastemails/societies/ias/ias-auditreportseminar_tev1.html Writing an audit report that communicates the right message to stakeholders and management is always a challenge.  This course will provide the key strategies and secrets to write an … Continue reading SIFMA Audit Report Writing Seminar →

www.sifma.org/blastemails/societies/ias/iasbusinesscontinuity090914_tev1.html The Internal Auditors Society will have an IT Audit Directors Roundtable on September 9, 2014 focused on Business Continuity: Challenges in a Changing Regulatory Environment. Join Nazir Vellani and … Continue reading SIFMA Audit Directors Roundtable 2014 →

Regulatory Notice 14-21 Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015 Executive … Continue reading SEC Approves Amendments to Equity Trade Reporting and OATS Rules →

Election Notice 8/1/14 Petitions for Candidacy Due: September 15, 2014 Executive Summary The purpose of this Election Notice is to announce the nomination process to fill two vacancies on the … Continue reading FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council →

With new leadership at the U.S. derivatives regulators in place, overseas derivatives reforms starting to take shape and swap markets in transformation, now is the right time to take stock … Continue reading SIFMA AMG Derivatives 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

www.sifma.org/cl-charlotte2014/ This one day seminar will feature presentations by leading securities regulators and industry professionals.

2014 Foundations of Web CRD/IARD Schedule & How to Register There are three ways to register: online, fax, or mail. Online registration is for credit card transactions only. Dates Fee Location September … Continue reading FINRA Foundations of Web CRD/IARD Training →

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) →

Regulatory Notice 14-20 Implementation Date: October 1, 2014 Executive Summary Starting on October 1, 2014, firms must select revised and new product and problem codes when: (1) reporting information regarding … Continue reading FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online →

Where is the SILA 2014 National Education Conference? Disneyland® Hotel Anaheim, California When is the SILA 2014 National Education Conference? October 5-8, 2014 Attend SILA's annual conference to participate and … Continue reading SILA National Education Conference →

FINRA's annual Advertising Regulation Conference provides practical guidance on complying with advertising rules and regulations for communications with the public. Highlights Current regulatory developments in securities advertising Interactive, hands-on workshops … Continue reading FINRA Advertising Regulation Conference →

www.sec.gov

SR-FINRA-2014-035 Proposed Rule Change to Revise the Series 24 Examination Program Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to … Continue reading Proposed Rule Change to Revise the Series 24 Examination Program →

SR-FINRA-2014-034 Proposed Rule Change to Revise the Series 23 Examination Program Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to … Continue reading Proposed Rule Change to Revise the Series 23 Examination Program →

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

SIFMA's next Social Media Seminar will take place on October 23, 2014 in New York City. Coming back to New York from the west coast, this one-day event brings together … Continue reading SIFMA Social Media Seminar →

Join SIFMA and SIFMA's Compliance & Legal Society at an Ethics Seminar for financial services lawyers. Top industry professionals will discuss a range of topics, including: the SEC and CFTC … Continue reading SIFMA Ethics Seminar →

The Complex Products Forum is a collaborative event that brings together regulators, distributors, and manufacturers to discuss the issues, challenges, and opportunities related to the sale of complex products to … Continue reading SIFMA Complex Products Forum →

Join SIFMA's Financial Management Society (FMS) and the AICPA on October 29-30 for the latest accounting, auditing and financial regulatory developments affecting securities firms. Hear from regulators first-hand and gain … Continue reading SIFMA National Conference on the Securities Industry →

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 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 FINRA and the Wharton School offer CRCP Program →

SIFMA's 2014 Annual Meeting gathers the leaders of the financial services industry together with prominent policymakers and financial media. In one-on-one conversations, thought leaders will share their perspectives on how … Continue reading SIFMA 2014 Annual Meeting →

www.sec.gov

SIFMA 2014 Diversity Conference: 20/20 VISION For Global Diversity and Inclusion SIFMA's annual Diversity and Inclusion Conference brings together industry leaders to share perspectives on ways to advance Diversity and … Continue reading SIFMA Diversity 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

2014 FINRA South Region Compliance Seminar November 20 – 21, 2014 Fort Lauderdale, FL Marriott Harbor Beach Registration is now open for the FINRA South Region Compliance Seminar. The One-and-a-half-day … Continue reading FINRA South Region Compliance Seminar →

The Corporate Actions Section Annual Dinner will be returning to the Lighthouse at Chelsea Piers, and will provide an opportunity for CAS members to network.

www.finra.org/AboutFINRA/HolidaySchedule

2014 FINRA Small Firm Conference December 10 – 11, 2014 San Francisco, CA Registration is now open for FINRA's new Small Firm Conference, which focuses on small firms' practices and … Continue reading 2014 FINRA Small Firm Conference →

Firms with sufficient monies in their Flex-Funding Account will have funds transferred to their Renewal Account to cover total renewal fees owed.  Transfers will be conducted every day until Web … Continue reading Automatic Transfers: Ebill System in CRD →