The Wharton School of the University of Pennsylvania.
University of Pennsylvania, Philadelphia, PA, United States
The Securities Industry Institute, SIFMA’s premier executive education program held in partnership with The Wharton School, is being offered March 6 – 11, 2016.
The program provides access to world-class faculty from Wharton and other leading universities and exposure from industry experts in the latest trends in the industry, prepares you for the uncertain shifts in the market, provides networking opportunities that enable you to build your network, business and perspective, and you will receive a SIFMA/Wharton Certificate upon graduation.
The 2016 Foundations of Web CRD/IARD training is designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and IARD, or who want to receive a refresher and registration tips.
Registration is now open for the SIFMA 2016 Compliance & Legal Society Annual Seminar on March 13–16 at the Hilton Orlando Bonnet Creek. Compliance and legal professionals participate in SIFMA's our interactive program with more than 65 dynamic panels and sessions that focus on the current regulatory and legal developments impacting the industry.
The Personnel Assessment and Gross Income Assessment (“GIA”) is designed to stabilize revenues used to support FINRA’s regulatory activities. The GIA is based on a member firm’s gross revenues and … Continue reading Personnel Assessment and Gross Income Assessment→
The FINRA Diversity Summit provides a forum for business leaders, diversity practitioners and human resource professionals in the financial services industry to explore a variety of corporate practices, strategies, and … Continue reading FINRA Diversity Summit→
FINRA San Francisco district office
120 Kearney Street, Suite 2100, San Francisco
Compliance Boot Camp 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 Compliance Boot Camp→
The Crescent Club
6075 Poplar Ave., Suite 909, Memphis, TN, United States
Compliance Boot Camp 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 Boot Camps→
FINRA has extended the implementation date for FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) from February 22, 2016 to April 22, 2016.
FINRA Philadelphia District Office
Doubletree Hilton Hotel & Suites Pittsburgh 1 Bigelow Square, Pittsburgh, PA, United States
Compliance Boot Camp 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 Compliance Boot Camps→
The Pfister Hotel
424 E. Wisconsin Ave., Milwaukee, WI, United States
Compliance Boot Camp 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 Boot Camp→
The Federal Reserve Bank of Boston
600 Atlantic Ave., 4th Floor, Boston, MA , MA, United States
Compliance Boot Camp 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 Boot Camp→
FINRA Dallas District Office
12801 North Central Expressway, Suite 1050, Dallas, TX, United States
Compliance Boot Camp 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 Boot Camp→
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
Marriott Marquis
901 Massachusetts Avenue NW, Washington, D.C., DC, United States
There are two ways to participate: in-person or online. In-person: Marriott Marquis Washington, DC 901 Massachusetts Avenue, NW Washington, DC 20001 |Travel Disclaimer: FINRA suggests that you do not purchase … Continue reading 2016 FINRA Annual Conference→
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 04/30/2016)→
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 (FINRA Rule 3270)→
SR-FINRA-2016-014 Rule change to amend the By-Laws of FINRA’s regulatory subsidiary, FINRA Regulation, Inc., to expand the size of the National Adjudicatory Council (“NAC”) to 15 members, with the number … Continue reading National Adjudicatory Council Changes→
The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors has concluded the CEO search, and appointed Robert W. Cook as President and Chief Executive Officer, effective … Continue reading FINRA Announces CEO Transition→
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 accounting details on your firm's Flex-Funding and Renewals accounts, which were previously only available in Web CRD, are now available in E-Bill along with enhanced capabilities for accessing that … Continue reading CRD Accounting Pages to be retired→
The Municipal Securities Rulemaking Board (MSRB) reminds municipal advisors that MSRB Rule G-42 on duties of non-solicitor municipal advisors and related amendments to MSRB Rule G-8 on recordkeeping become effective on June 23, … Continue reading MSRB: June 23, 2016 Effective Date of New Rule G-42→
FINRA's 2016 Risk Control Assessment (RCA) survey launched earlier this month, when each firm's executive representative was sent an email linking to their firm's unique RCA survey. The RCA is … Continue reading FINRA 2016 Risk Control Assessment Due→
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→
The SEC requests comment on FINRA's proposal to amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings) and 2214 (Requirements … Continue reading SEC Requests Comments on Communications Rules→
SR-FINRA-2016-019 According to the Rule Filing Status Report , a change to adopt NASD Rule 2830 (Investment Company Securities) as FINRA Rule 2341 (Investment Company Securities) will be implemented as of July … Continue reading FINRA Rule 2341 to replace NASD Rule 2830→
Stamford Marriot Hotel
243 Tresser Blvd., Stamford, CT, United States
FINRA Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and … Continue reading FINRA Compliance Boot Camp-Stamford, CT→
FINRA Chicago District Office
55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, United States
Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Compliance Boot Camp – Chicago→
FINRA Dallas District Office
12801 North Central Expressway, Suite 1050, Dallas, TX, United States
FINRA District Compliance Meeting 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 … Continue reading FINRA District Compliance Meeting – Dallas, Texas→
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
SR-FINRA-2016-017 From the Rule Filing Status Report , a change to amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) will be to clarify the application of the rule in … Continue reading FINRA Rule 2242 Clarifications→
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report
Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS
reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital
requirement of less than $100,000; or (2) inventory positions consisting only of money
market mutual funds.6 A firm with inventory positions consisting only of money market
mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
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→
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 (FINRA Rule 3270)→
Hilton Del Mar
15575 Jimmy Durante Blvd., Del Mar, CA, United States
FINRA Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and … Continue reading FINRA Compliance Boot Camp – San Diego→
FINRA New Jersey District Office
581 Main Street - 7th Floor, Woodbridge, NJ, United States
FINRA Half Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings … Continue reading FINRA Compliance Boot Camp-New Jersey→
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
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 07/31/2016)→
FINRA Kansas City District Office
12 Wyandotte Plaza , Kansas City, MO
Half-Day FINRA Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and … Continue reading FINRA Compliance Boot Camp- Kansas City→
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report
Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS
reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital
requirement of less than $100,000; or (2) inventory positions consisting only of money
market mutual funds.6 A firm with inventory positions consisting only of money market
mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
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 (FINRA Rule 3270)→
Marriott Marquis
901 Massachusetts Avenue NW, Washington, D.C., DC, United States
FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. Featured topics include: Evolving Bond Market Structure Key FINRA Regulatory Developments … Continue reading 2016 Fixed Income Conference→
Atlanta District Office
One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United States
FINRA Half Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings … Continue reading FINRA Compliance Boot Camp – Atlanta→
FINRA New York District Office
Brookfield Place 200 Liberty Street, New York, United States
FINRA Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings … Continue reading FINRA Compliance Boot Camp – New York→
The Marquette Hotel
710 S. Marquette Ave., Minneapolis, MN, United States
FINRA Half Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings … Continue reading FINRA Compliance Boot Camp – Minneapolis→
The Westin Riverwalk
420 W. Market Street, San Antonio, TX, United States
Compliance Boot Camp 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 Compliance Boot Camp – San Antonio→
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
The annual meeting of FINRA firms will take place on or about Monday, September 19, 2016, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA … Continue reading FINRA Board of Governors Election→
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 08/31/2016)→
The Mayflower Hotel
Washington, D.C., DC, United States
SIFMA's 2016 Annual Meeting By popular demand, SIFMA's Annual Meeting will return to our nation’s capital this fall for candid one-on-one conversations, in-depth breakout sessions and expert insights on the … Continue reading SIFMA 2016 Annual Meeting→
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 (FINRA Rule 3270)→
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→
SIFMA’s Next Generation of Financial Advisors Seminar provides an opportunity for industry professionals to gather and discuss industry solutions to recruiting and training the next generation of financial advisors. Speakers … Continue reading SIFMA’s Next Gen Financial Advisors Seminar→
Cipriani
25 Broadway, New York City, NY, United States
SIFMA and the SIFMA Foundation invite you to join us on October 5th for a special evening to celebrate champions of youth financial education and raise awareness for this important cause. … Continue reading SIFMA Foundation Tribute Dinner→
Marriott Boston Copley Place
Boston, MA, United States
Join SIFMA's Corporate Actions Section for the 13th annual Global Corporate Actions Forum in Boston. Connect with fellow industry professionals and hear from leading subject matter experts as they examine … Continue reading SIFMA’s 13th Annual Global Corporate Actions Forum→
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
FINRA Washington, D.C.
1735 K Street, NW, Washington, D.C.
FINRA Half Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course … Continue reading FINRA Compliance Boot Camp – Washington D.C.→
Omni Shoreham
2500 Calvert Street NW, Washing, D.C., DC, United States
2016 NSCP National Conference The NSCP National Conference offers unique educational opportunities to further the professional growth of compliance professionals: Broker-Dealers :: Investment Advisers :: Investment Companies :: Municipal Advisors … Continue reading 2016 NSCP National Conference→
Renaissance Washington D.C. Hotel
999 Ninth Street, NW, Washington, D.C., DC, United States
Over the next 10-plus years, 10,000 Americans will turn 65 every day, with these investors accounting for more than 75 percent of financial assets in the United States. Seniors’ significant … Continue reading FINRA/SIFMA Senior Investor Conference→
FINRA District Office Jericho, N. Y.
Two Jericho Plaza
FINRA Half Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings … Continue reading FINRA Compliance Boot Camp – Jericho, New York→
