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)
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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 14-21 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
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
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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
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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
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)
Web CRD and IARD are unavailable as Final Statements are generating.
Web CRD/IARD are available from 8 am to 6 pm ET. Note: FINRA will be closed Saturday, December 27 and FINRA staff support is unavailable. Therefore, Forms U4 and BD … Continue reading Last Day to submit Form Filings prior to year-end
Web CRD and IARD are available for QUERY-only and the creation of "Pending" filings.
Web CRD and IARD are available with complete functionality as of 5 a.m., ET, including submitting form filings and approving registrations. • Overpayments are transferred to firms' Flex-Funding Account. Refund … Continue reading Web CRD/IARD Available
Five Challenges Firms Should Address Highlighted in 10th Anniversary of Letter WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2015 Regulatory and Examination Priorities letter highlighting significant … Continue reading FINRA Releases 2015 Regulatory and Exam Priorities Letter
Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today announced that its Electronic Municipal Market Access (EMMA®) service would begin collecting and disseminating disclosures related to municipal asset-backed securities … Continue reading MSRB Accepting Municipal Asset-Backed Securities Disclosures on EMMA
MSRB PUBLISHES 2014 ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTSAlexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today published its 2014 Annual Report, which highlights important advances in municipal advisor regulation, enhancements to … Continue reading MSRB 2014 Annual Report
New York, N.Y., January 14, 2015 - SIFMA today issued our 2014 Year in Review. The report highlights the work of more than 10,000 professionals from 500 member firms who participate … Continue reading SIFMA Issues 2014 Year in Review
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
Final Renewal Statements: On January 2, 2015, Final Renewal Statements and reports became available for viewing and printing in Web CRD/IARD. These statements reflect the final status of broker-dealer, registered … Continue reading FINRA BD & IA Renewals for 2015 Renewal Statement deadline
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 any … Continue reading Automatic Transfers: Ebill System in CRD
Washington, D.C., January 20, 2015 - SIFMA today released the following statements from Kenneth E. Bentsen, Jr., president and CEO, on President Obama’s State of the Union address: Cybersecurity: “SIFMA … Continue reading SIFMA Statement on the State of the Union Address
Alexandria, VA – The Board of Directors of the Municipal Securities Rulemaking Board (MSRB) held its quarterly meeting January 28-29, 2015, where it reached another milestone in its development of a … Continue reading MSRB Quarterly Board Meeting
Description Proposed rule change to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) to extend the Tier Size Pilot, which currently is scheduled to expire on … Continue reading Proposed Rule Change to Amend FINRA Rule 6433: Effective Immediately
New York, NY, January 29, 2015 - SIFMA today issued its quarterly government securities issuance and rates forecast for the first quarter of 2015. The full report is available at … Continue reading SIFMA Issues Quarterly Government Securities Issuance and Rates Forecast for 1Q 2015
www.msrb.org/Rules-and-Interpretations/Regulatory-Notices.aspx
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1.8 million in grants to 21 recipients as part of the … Continue reading FINRA Investor Education Foundation & the American Library Association Announce $1.8 million in Grants to Public Libraries to Support Financial Literacy
Students from High Schools and Middle Schools from all 50 States Participate in the SIFMA Foundation Competition to Promote Financial Capability and Expose Students to Fiscal Policymaking Washington, DC, February … Continue reading SIFMA and the SIFMA Foundation Kick-Off the 12th Annual Stock Market Game™-Capitol Hill Challenge
Industry's empirical analysis shows FSB's TLAC calibration is higher than needed New York, NY - Today, The Clearing House (TCH), the Securities Industry and Financial Markets Association (SIFMA), the American … Continue reading Industry Supports Total Loss Absorbency Requirement to Help Ensure G-SIBs Can Be Resolved in an Orderly Manner without Taxpayer Assistance
The Financial Industry Regulatory Authority (FINRA) issued a new report on cybersecurity, which details practices that firms can tailor to their business model as they strengthen their cybersecurity efforts. The … Continue reading FINRA Issues Report on Cybersecurities Practices
Washington D.C., Feb. 3, 2015 — The Securities and Exchange Commission today released publications that address cybersecurity at brokerage and advisory firms and provide suggestions to investors on ways to … Continue reading SEC Alerts Investors, Industry on Cybersecurity
The frequency and sophistication of cybersecurity attacks are increasing, and combating these threats remains a priority for regulators and firms. That’s why FINRA and SIFMA are joining forces to host … Continue reading FINRA & SIFMA: Cybersecurity Conference
FIA and SIFMA Asset Management Group are hosting a comprehensive review of the most critical derivatives issues facing the buy-side. With international regulation of the derivatives markets heating up, new … Continue reading FIA & SIFMA: Asset Management Derivatives Forum 2015
Miami Regional Director Eric Bustillo and Fort Worth Regional Director David Woodcock will be panelists at the 33rd Annual Federal Securities Institute. Their panel will discuss SEC enforcement and private … Continue reading SEC: 33rd Annual Federal Securities Institute
www.sec.gov/news/whatsnew/wn-today.shtml
9:10 and 10:45 a.m. Elizabeth Murphy, Associate Director, Division of Corporation Finance, will participate on two panels at the 33rd Annual Federal Securities Institute. The panel at 9:10 a.m. will … Continue reading SEC: 33rd Annual Federal Securities Institute
Rule change to extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to February 11, 2016. FINRA Rule 0180 temporarily limits, with certain exceptions, the … Continue reading Rule Change to Extend Expiration Date of FINRA Rule 0180
10:00 a.m. Investor Advisory Committee Quarterly Meeting See IAC Agenda Location: SEC Headquarters, Multipurpose Room, 100 F Street, N.E., Washington, D.C. Contact: Frankie White, 202-551-4310
FINRA's Annual User Accounts Certification Process is underway and will conclude February 12, 2015. During this certification period, Super Account Administrators (SAAs) for firms with more than one user must … Continue reading Annual Entitlement User Accounts Certification Process
SIFMA’s FINRA Disciplinary Hearings Forum is a half-day interactive program that will provide valuable insights and practice tips both for lawyers experienced in FINRA proceedings and those new to the … Continue reading FINRA Disciplinary Hearings Forum
Effective February 14, 2015, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $22.10 … Continue reading New Rate for Fees Paid Under Section 31 of the Exchange Act
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2 p.m. Advisory Committee on Small and Emerging Companies will hold a public meeting by conference telephone call. Location: Conference Call Contact: Julie Davis, acsecquery@sec.gov
Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB), the self-regulatory organization that oversees the $3.6 trillion municipal securities market, is accepting applications for its Board of Directors. The Board sets … Continue reading MSRB Seeks Board of Directors Applicants
FINRA requests comment on a proposal to identify over-the-counter (OTC) trades in NMS stocks reported more than two seconds following trade execution as "out of sequence" and not last sale … Continue reading FINRA Request for Comments Deadline: OTC trades in NMS stocks
FINRA is soliciting comment on a proposal to reduce the synchronization tolerance for computer clocks. The current clock synchronization requirements allow for a tolerance of one second from the National … Continue reading FINRA Request for Comments Deadline: Synchronization for computer clocks
FINRA Board of Governors Rulemaking Items for Discussion at the February 2015 Meeting The FINRA Board of Governors will consider the following rulemaking items at its February 2015 meeting. After … Continue reading FINRA Board of Governors February Meeting: Rulemaking Items for Discussion
SIFMA's 2015 Anti-Money Laundering and Financial Crimes Conference will bring together leading experts from the industry, regulatory agencies and law enforcement to discuss new trends in financial crime; emerging issues … Continue reading SIFMA Anti-Money Laundering & Financial Crimes Conference
Event status: Not started (Register) Date and time: Tuesday, February 24, 2015 3:00 pm Eastern Standard Time (New York, GMT-05:00) Change time zone Duration: 1 hour Description: Join NSCP and … Continue reading NSCP: Free Webinar – How to Successfully Navigate State Investment Adviser Regulations
SIFMA's popular Social Media Seminar is coming back to the West Coast. Join us for this full day Seminar that brings together experts from across multiple fields to further explore … Continue reading SIFMA Social Media Seminar 2015
Hear from the Regulators at on a “Margin Regulation: Current State and Future Trends” panel at the February Credit & Margin Dinner. This panel will have representatives from the CBOE, … Continue reading SIFMA Credit and Margin February Dinner
Members of SIPC are required to pay their assessment on SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to … Continue reading SIPC Assessments (Year ending 12/31/2014) SIPC 7
The SIFMA Insurance- and Risk-Linked Securities Conference (IRLS 2015) will feature industry experts, sponsors and institutional investors discussing this growing and evolving market place, product design and innovation, and emerging … Continue reading SIFMA: Insurance and Risk Linked Securities Conference