Review and update Firm Element Continuing Education Plan

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 investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and update Firm Element Continuing Education Plan

SIFMA Compliance & Legal Society Charlotte Regional Seminar

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 feature presentations by leading securities regulators and industry professionals. Topics Include: Hot Topics In Securities Enforcement Cybersecurity Compliance Framework for Bank Supervision Investment Advisers – … Continue reading SIFMA Compliance & Legal Society Charlotte Regional Seminar

2014 FINRA Annual Conference Registration Information

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 October 1 to take advantage of the lowest registration rates that are available to the first 100 in-person registrants. For more information, visit www.finra.org/annualconference

Quarterly GASB Accounting Support Fee

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 on member firm’s municipal securities trading volume for the prior quarter.   finra.complinet.com/en/display/display_viewall.html

Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions): Comment Deadlline

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 Distributions) to allow members to rely on written representations from certain accounts to comply with Rule 5131(b) related to spinning. Please click on the link … Continue reading Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions): Comment Deadlline

Nominations Due October 4: SFAB and District Committees

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 Election Notice provides details about the election process for New York Region vacancy. The District Committee Election Notice provides details about the seats open for … Continue reading Nominations Due October 4: SFAB and District Committees

FINRA Webinar—Suitability: Findings and Industry Practices

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 and highlight examination methodology, common findings and effective industry practices for complying with the rule. Visit the FINRA website for more information and to register.

FINRA Half-Day Compliance Boot Camp

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 for immediate application to the workplace.   Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are … Continue reading FINRA Half-Day Compliance Boot Camp

NAIPFA Annual Conference

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   The National Association of Independent Public Finance Advisors (NAIPFA) is a professional organization limited to firms that specialize in providing financial advice on bond … Continue reading NAIPFA Annual Conference

FINRA Advertising Regulation 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 for communications with the public. Conference sessions address FINRA rules and interpretations as they apply to communications for investment company products, structured products and alternative … Continue reading FINRA Advertising Regulation Conference

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2013)

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 of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2013)

SIFMA Market Structure Conference

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 experts discuss off-exchange trading venues; the benefits and challenges of electronic trading; identify the steps market participants should take to address the impact of systems … Continue reading SIFMA Market Structure Conference

2013 NSCP National Meeting

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 Fund/Hedge Fund and Investment Company issues. When: October 21, 2013 - October 23, 2013   9:00 a.m.-4:00 p.m. ET Where: Washington Hilton 1919 Connecticut Ave., … Continue reading 2013 NSCP National Meeting

Funding Portal Rules-Comments Requested

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 crowdfunding provisions of the JOBS Act. The comment period expires February 3, 2014. See Regulatory Notice 13-34.

FINRA Requests for Comments: Regulatory Notice 10-1

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 (Member Application). The revised proposal includes changes in response to comments on the prior proposal set forth in Regulatory Notice 10-01. The proposal also includes … Continue reading FINRA Requests for Comments: Regulatory Notice 10-1

Regulatory Notice 13-3 Securities Industry/Regulatory Council on Continuing Educaion Issues Firm Element Advisory Update

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 produces the FEA to identify regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics updated or added since … Continue reading Regulatory Notice 13-3 Securities Industry/Regulatory Council on Continuing Educaion Issues Firm Element Advisory Update

Outside Business Activity Review (NASD Rule 3050)

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 of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activity Review (NASD Rule 3050)

Regulatory Notice 13-28: FINRA Revises the Series 16 Examination Program

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 matter covered by the examinations. Based on this review process, FINRA has revised the Supervisory Analyst (Series 16) examination program. To find our more information … Continue reading Regulatory Notice 13-28: FINRA Revises the Series 16 Examination Program

New Entitlement Privileges for Web CRD/IARD

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 how these new privileges will impact super account administrators, account administrators and users of Web CRD/IARD.

MSRB Rule A•14 (Annual Fee)

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 fee to the Board of $500, with respect to each fiscal year of the Board in which the broker, dealer, municipal securities dealer, or municipal … Continue reading MSRB Rule A•14 (Annual Fee)

Illinois Renewal for Dealers

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 Designated Principal on their records is accurate. One page of the document will be the Designation of Principal form, which is required to be edited … Continue reading Illinois Renewal for Dealers

Deadline for FINRA Request for Comment: Notice 10-01

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 (Member Application). The revised proposal includes changes in response to comments on the prior proposal set forth in Regulatory Notice 10-01. The proposal also includes … Continue reading Deadline for FINRA Request for Comment: Notice 10-01

FINRA Institute at Wharton – Week II

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 foundation, theory and practical application of securities laws and regulation. The program draws on the expertise of Wharton faculty, senior regulators and industry practitioners and … Continue reading FINRA Institute at Wharton – Week II

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

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 and approved by the FINOP within 17 business days after the end of each month.

Outside Business Activity Review (NASD Rule 3050)

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 of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activity Review (NASD Rule 3050)

District 9A (Philadelphia) 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 dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. December 9, 2013 9:30 a.m. – 11:30 a.m. District Compliance Meeting   … Continue reading District 9A (Philadelphia) District Compliance Meeting

Final Renewal Statement Payment

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 the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2014. FINRA-registered firms will also be subject … Continue reading Final Renewal Statement Payment

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

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 and approved by the FINOP within 17 business days after the end of each month.

Annual Deadline to Submit Form Filings with CRD/IARD

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 7 a.m. until 6 p.m., ET.  Approvals will be effective 1/2/2014.

Outside Business Activity Review (NASD Rule 3050)

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 of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activity Review (NASD Rule 3050)

Review and update Firm Element Continuing Education Plan

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 investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and update Firm Element Continuing Education Plan

SEC News: SEC Removes References to NRSRO Ratings in Certain Rules and Forms

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 forms to credit ratings by nationally recognized statistical rating organizations (NRSROs). The changes were required by the Dodd-Frank Wall Street Reform and Consumer Protection Act … Continue reading SEC News: SEC Removes References to NRSRO Ratings in Certain Rules and Forms

Final Renewal Statement Availability

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 daily account in conjunction with year-end renewal processing. Refund requests are made from this account.

Web CRD & IARD Available

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 Accounts.  Refund requests should be made from this account. Final Renewal Statements and reports are available for viewing and printing.

SEC Requests Comments: Uniform Branch Registration Form

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 firms; (2) add questions relating to space sharing arrangements and the location of books and records that are currently only in Section 6 and make … Continue reading SEC Requests Comments: Uniform Branch Registration Form

Registration Date for lower rates to the CRCP Program at Wharton

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 intensive instruction, discussion and case studies. The program is comprised of two weeklong residential courses at the Wharton campus in Philadelphia. Week I – August … Continue reading Registration Date for lower rates to the CRCP Program at Wharton

Full Payment of Final Renewal Due

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 to FINRA by December 13, 2013, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January … Continue reading Full Payment of Final Renewal Due

MSRB Requests Comments to Proposed Changes to C.E. Program

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 municipal securities activities to participate in a minimum of one hour of Firm Element continuing education on municipal securities topics annually.  The MSRB has completed … Continue reading MSRB Requests Comments to Proposed Changes to C.E. Program

SIFMA Event: Cross Border Regulation in the Global Marketplace

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 they serve, in the United States and abroad, have a global outlook yet must consider the local regulations and issues when conducting business. From the … Continue reading SIFMA Event: Cross Border Regulation in the Global Marketplace

SIFMA Event: Securitization Spotlight Session

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 Group's (TMPG) recommendation regarding the margining in forward-settling agency MBS trading. Speakers and participants will: Troubleshoot implementation issues Discuss the next steps for margining on … Continue reading SIFMA Event: Securitization Spotlight Session

FINRA ORF (OTC Reporting Facility) Migration of Technology Conference Call

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 this free WebEx and conference call, FINRA staff: discuss in detail the major changes and enhancements to ORF; review factors that firms will need to … Continue reading FINRA ORF (OTC Reporting Facility) Migration of Technology Conference Call

SIFMA Event: New CFTC Voice Recording & Recordkeeping Rules

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 Voice Recording and Recordkeeping Requirements including mobile recording, searchability, and privacy concerns. Trade Reconstruction and Recordkeeping, including, streaming quotes retention, execution information and rules for … Continue reading SIFMA Event: New CFTC Voice Recording & Recordkeeping Rules

MSRB Event: Public Education & Outreach Seminar in Atlanta

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 $3.7 trillion municipal securities market, will discuss development of new regulations for professionals that provide financial advice to state and local governments, among other topics. … Continue reading MSRB Event: Public Education & Outreach Seminar in Atlanta

SIFMA Event: 2014 Annual AML and Financial Crimes Conference

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 and provide practical guidance for implementing effective compliance programs to address money laundering and other financial crimes. Anti-money laundering compliance is an integral part of a … Continue reading SIFMA Event: 2014 Annual AML and Financial Crimes Conference

Outside Business Activity Review (NASD Rule 3050)

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 expectation of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he … Continue reading Outside Business Activity Review (NASD Rule 3050)

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 crowdfunding provisions of the JOBS Act. The comment period expires February 3, 2014. See Regulatory Notice 13-34.

FINRA Requests Comments: Funding Portal 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 crowdfunding provisions of the JOBS Act. The comment period expires February 3, 2014. See Regulatory Notice 13-34

FINRA offers Options Regulation Conference

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 issues with firms that trade in the options markets. The conference includes a panel of legal representatives from the options industry, including senior representatives from … Continue reading FINRA offers Options Regulation Conference

FINRA Requests Comments: Comprehensive Automated Risk Data System (CARDS)

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, automated and regular basis, account information, as well as account activity and security identification information that a firm maintains as part of its books and … Continue reading FINRA Requests Comments: Comprehensive Automated Risk Data System (CARDS)

Exemption Expiration for New SEC Financial Responsibility Rules

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 reporting and audit requirements under SEA Rule 17a-5. Certain of the new rules were to take effect on October 21, 2013. However, on October 17 … Continue reading Exemption Expiration for New SEC Financial Responsibility Rules

FINRA offers Diversity Summit

FINRA Diversity Summit March 4, 2014 New York, NY The FINRA Diversity Summit provides a forum for diversity practitioners and business leaders from securities firms, financial regulators and other organizations to share diversity and inclusion best practices that link business goals to the workplace and the marketplace. Participation is first come, first served. Visit the … Continue reading FINRA offers Diversity Summit

SIFMA Event: IRLS (Insurance & Risk Linked Securities) Conference 2014

SIFMA's annual Insurance-and-Risk-Linked Securities Conference is the leading forum for updates, strategies and insights into the top industry issues in the coming year. A range of topics will be explored – from identifying and mobilizing new sources of capital, examining reinsurance's evolving role – to emerging legal issues and broadening the industry's scope. Registration questions? … Continue reading SIFMA Event: IRLS (Insurance & Risk Linked Securities) Conference 2014

FINRA offers Fixed Income Conference

Fixed Income Conference March 11, 2014 New York, NY The conference agenda and session descriptions are now available in our online brochure. Topics include: market structure and electronic trading; market volatility and liquidity issues; mark-ups, best execution and prevention of front-running; retail sales practice issues; municipal securities developments; TRACE nuts and bolts; and examination and … Continue reading FINRA offers Fixed Income Conference

MSRB Notice 2013-20: SEC Approves Amendments to MSRB Rules G-11, G-8 & G-32.

The Municipal Securities Rulemaking Board (MSRB) received approval from the Securities and Exchange Commission (SEC) on September 26, 2013 to amend Rule G-11 (on primary offering practices), Rule G-8 (on books and records) and Rule G-32 (on disclosures in connection with primary offerings). The amendments to Rule G-11 establish certain basic protections for issuers and … Continue reading MSRB Notice 2013-20: SEC Approves Amendments to MSRB Rules G-11, G-8 & G-32.

SEC Approves Amendments to Equity Trade Reporting and OATS Rules

Regulatory Notice 14-21 SEC Approves Amendments to Equity Trade Reporting and OATS Rules 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 Summary The Securities and Exchange Commission (SEC) has approved amendments to FINRA rules governing … Continue reading SEC Approves Amendments to Equity Trade Reporting and OATS Rules

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

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 October 1 to take advantage of the lowest registration rates that are available to the first 100 in-person registrants. For more information, visit www.finra.org/annualconference

SEC Celebrates 80th Anniversary

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 now is to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation. Here's a look back at the events of 1934 and … Continue reading SEC Celebrates 80th Anniversary

SIFMA Tech 2014

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 achieve a technological infrastructure that facilitates operating efficiency and promotes sound risk management.

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

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 broker-dealers in the Interpretations of Financial and Operational Rules to reflect the effectiveness of amendments the SEC adopted. The updated imbedded text relates to SEA … Continue reading FINRA Announces Updates of the Interpretations of Financial and Operational Rules

SIFMA Statement on SEC Approval of Cross-Border Swaps 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 statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO following the Securities and Exchange Commission's unanimous decision to adopt cross-border security-based swaps rules and … Continue reading SIFMA Statement on SEC Approval of Cross-Border Swaps Rules

SEC Adopts Cross-Border Security-Based Swap 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.  The new rules will be key to finalizing the remaining proposals. The rules and guidance explain when a cross-border transaction must be counted toward the … Continue reading SEC Adopts Cross-Border Security-Based Swap Rules

New Payments for Market Making Certification Requirement for FINRA Form 211

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 and associated persons of the FINRA Rule 5250 (Payments for Market Making) prohibition on accepting payments for market making, which includes payments for filing a … Continue reading New Payments for Market Making Certification Requirement for FINRA Form 211

SEC Approves Amendments to FINRA Rule 2210

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 Date: July 11, 2014 Executive Summary The SEC has approved amendments to FINRA Rule 2210 (Communications with the Public) that: (i) exclude from Rule 2210’s … Continue reading SEC Approves Amendments to FINRA Rule 2210

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