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MSRB Seeks Board of Directors Applicants

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 the strategic direction of the organization, makes policy decisions, authorizes rulemaking and market transparency initiatives, and oversees MSRB operations. The MSRB is seeking individuals knowledgeable … Continue reading MSRB Seeks Board of Directors Applicants →

FINRA Request for Comments Deadline: OTC trades in NMS stocks

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 eligible for public dissemination purposes. See Regulatory Notice 14-46. The comment period expires February 20, 2015.

FINRA Request for Comments Deadline: Synchronization for computer clocks

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 Institute of Standards and Technology (NIST) atomic clock. Under the proposal, the tolerance for computer clocks would be reduced to 50 milliseconds. The tolerance for … Continue reading FINRA Request for Comments Deadline: Synchronization for computer clocks →

FINRA Board of Governors February Meeting: Rulemaking Items for Discussion

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 the meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.   BrokerCheck Disclosure The … Continue reading FINRA Board of Governors February Meeting: Rulemaking Items for Discussion →

SIFMA Anti-Money Laundering & Financial Crimes Conference

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 relating to anti-money laundering, economic sanctions and anti-bribery/anti-corruption compliance; and changes in regulatory expectations and requirements.  Now in its 15th year, this is the only … Continue reading SIFMA Anti-Money Laundering & Financial Crimes Conference →

NSCP: Free Webinar – How to Successfully Navigate State Investment Adviser Regulations

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 Renaissance Regulatory Services, Inc. on {date and time} for a free webinar on the compliance issues faced by state registered investment advisers. Presenters will provide … Continue reading NSCP: Free Webinar – How to Successfully Navigate State Investment Adviser Regulations →

SIFMA Social Media Seminar 2015

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 the important issues facing our industry in light of the rapidly changing and growing tools of social media. Please use the link for more details. … Continue reading SIFMA Social Media Seminar 2015 →

SIFMA Credit and Margin February Dinner

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, FBR, OCC, CME and FINRA. Please use the link below to find out more information. www.sifma.org/events/

SIFMA: Insurance and Risk Linked Securities Conference

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 trends. Please use the link below to find out more information. www.sifma.org/events/

SIFMA Securities Industry Institute 2015

The Securities Industry Institute® (SII) is the premier executive development program for financial services professionals. For more than 60 years, SIFMA and The Wharton School of The University of Pennsylvania have partnered to equip SII participants with practical information, ideas and answers directly applicable to their present and future responsibilities.

FINRA Fixed Income Conference

www.finra.org/web/groups/industry/@ip/@edu/documents/education/p602223.pdf Please use the link above for more information. Fixed Income Conference March 10, 2015 New York, NY FINRA's Fixed Income Conference addresses current impacts on the fixed income markets and how regulators and firms are responding. Topics include: fixed income-related examination and enforcement update; risk management for institutional firms; fixed income compliance practices for … Continue reading FINRA Fixed Income Conference →

FINRA Diversity Summit

2015 FINRA Diversity Summit (SOLD OUT) March 18, 2015 9:00 a.m. – 4:30 p.m. New York, NY FINRA’s 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. Hear … Continue reading FINRA Diversity Summit →

Regulatory Notice: Effective Date for Changes to Qualification Examination Fees

In FINRA Notice to Members 15-08 , FINRA noted that it regularly conducts a comprehensive review of the examination fee structure, including an analysis of the costs associated with developing, administering and delivering each examination, so that FINRA may better understand whether pricing changes are warranted and evaluate the financial condition of each qualification examination … Continue reading Regulatory Notice: Effective Date for Changes to Qualification Examination Fees →

SIFMA: Private Client Conference 2015

The Westin Michigan Avenue, Chicago, IL, United States

The SIFMA Private Client Conference is North America's leading event designed specifically for financial professionals who service the individual investor. Register now to hear from top industry leaders on tactical ways to enhance client service, advice and trust to help investors achieve their financial goals. Why You Should Attend: STRONG INDUSTRY PRESENCE - Senior Wealth … Continue reading SIFMA: Private Client Conference 2015 →

NSCP: 2015 Regional Conference – St. Louis, MO

DoubleTree Hotel St. Louis at Westport 1973 Craigshire, St. Louis, MO, United States

St. Louis, MO :: April 9, 2015 :: DoubleTree Hotel St. Louis at Westport This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry.  Our workshops and labs are led by experienced industry veterans and legal professionals who focus … Continue reading NSCP: 2015 Regional Conference – St. Louis, MO →

Meeting of the Securities and Exchange Commission Investor Advisory Committee

9:30 - 10:00 a.m. Welcome Remarks and Continental Breakfast 10:00 - 10:05 a.m. Approval of Minutes 10:05 - 10:20 a.m. Nomination of Candidates for Officer Positions to Become Available Upon Expiration of Current Three-Year Terms 10:20 - 10:50 a.m. Discussion of CFTC Investor Behavior Survey Results 10:50 - 11:20 a.m. Discussion of Background Checks as … Continue reading Meeting of the Securities and Exchange Commission Investor Advisory Committee →

FINRA Regulatory Notice 15-04 Fixed Income Price Dessimination

  Executive Summary FINRA is soliciting comment on a proposal to expand dissemination of TRACE data to include additional Securitized Products, specifically, collateralized mortgage obligations (CMOs), commercial mortgage-backed securities (CMBSs) and collateralized debt obligations (CDOs). FINRA is proposing to reduce the reporting time frame for these additional Securitized Products from end-of-day to 45 minutes and, … Continue reading FINRA Regulatory Notice 15-04 Fixed Income Price Dessimination →

Tennessee Professional Privilege Tax Invoices

The LeGaye Law Firm wants to remind you that all registered broker-dealers, investment advisers and agents registered in the State of Tennessee should be receiving their annual Professional Privilege Tax invoices. Payments are due on or before June 1, 2015 in order to avoid late fees. For more information regarding this, please  click here at:  http://www.tn.gov/revenue/tntaxes/proftax.shtml   … Continue reading Tennessee Professional Privilege Tax Invoices →

NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program

In an era of heightened SEC enforcement, do you know when the SEC will hold you personally liable for employee misconduct? How do you protect yourself and how can compliance automation help you mitigate liability?Join NSCP and Compliance Science for a webinar discussion on CCO Liability and how compliance automation can help on April 21st … Continue reading NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program →

NSCP: 2015 Regional Conference – New York, NY

AMA Conference Center 1601 Broadway, New York, NY, United States

New York, NY :: April 28, 2015 :: AMA Conference Center This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry.  Our workshops and labs are led by experienced industry veterans and legal professionals who focus on the … Continue reading NSCP: 2015 Regional Conference – New York, NY →

FINRA Testimony: CEO Rick Ketchum

Read Chairman and CEO Rick Ketchum's testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services.  

MSRB Publishes Updates on Annual Financial Disclosures

Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB) has released an update to its 2013 report on how many days after the end of the fiscal year that issuers of municipal securities and other obligated persons make their annual financial information available to the public. Timing of typical financial disclosures remained largely unchanged year … Continue reading MSRB Publishes Updates on Annual Financial Disclosures →

Quarterly GASB Accounting Support Fee Due

FINRA Regulatory Notice 15-12 reflects that  FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member … Continue reading Quarterly GASB Accounting Support Fee Due →

Comment Period Ends: Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies

Regulatory Notice 15-06 stated that FINRA is soliciting comment on a proposal to require registration as a Securities Trader of associated persons primarily responsible for the design, development or significant modification of algorithmic trading strategies, or who are responsible for supervising or directing such activities. The comment period expires May 18, 2015.

SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens

Chairman and CEO of Stifel and member of the SIFMA Board of Directors, testified on behalf of SIFMA this week before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises. Kruszewski noted the proposals under discussion are important and appropriate work to promote capital formation. They build upon the success of the … Continue reading SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens →

Westminster CSA Survey Finds 9 in 10 Traders Want Less Regulation of CSAs

Westminster co-president Tim O'Halloran, who authored the study, found that 88 percent of European and 93 percent of North American financial professionals want the same or lower levels of regulation for commission sharing arrangements.  to read the entire article,  click here.

Next Generation of Financial Advisors Seminar

SIFMA Conference Center New York City, NY, United States

The Next Generation of Financial Advisors Seminar will provide a forum to discuss the numerous opportunities to recruit and train the next generation of financial advisors. Speakers and panelists will discuss innovative ideas and tactical approaches, including: Enhancing Education: How can the industry increase college and university offerings to create a buzz around the profession … Continue reading Next Generation of Financial Advisors Seminar →

EXECUTIVE SESSION to mark-up original legislation entitled “The Financial Regulatory Improvement Act of 2015.”

At 10:00 a.m. on Thursday, May 21, 2015 in Room 538, Dirksen Senate Office Building, the COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS will meet in EXECUTIVE SESSION to mark-up original legislation entitled “The Financial Regulatory Improvement Act of 2015.” All mark-ups are webcast live and will not be available until the hearing starts. Individuals … Continue reading EXECUTIVE SESSION to mark-up original legislation entitled “The Financial Regulatory Improvement Act of 2015.” →

2015 FINRA Annual Conference

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

FINRA's Annual Conference provides compliance professionals, securities attorneys, and other industry leaders with the opportunity to hear regulatory priorities and share compliance solutions. Click here for further details. FINRA Annual Conference May 27 – 29, 2015 Washington, DC Registration is now open to attend the 2015 FINRA Annual Conference in person or via live broadcast. The … Continue reading 2015 FINRA Annual Conference →

FINRA Small Firm Conference Registration – California

Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CA

Registration is now open for FINRA's Small Firm Conference, which focuses on small firms' practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule. Topics featured at least … Continue reading FINRA Small Firm Conference Registration – California →

Government Finance Officers Association: 109th Annual Conference

GFOA’s conference program will feature a broad range of sessions covering all aspects of state and local government finance, with something for everyone! Speakers will include leading public-sector practitioners; experts from the auditing, banking, consulting, and technology industries; and leading academics and researchers at the forefront of the public finance profession. The GFOA’s annual conference … Continue reading Government Finance Officers Association: 109th Annual Conference →

Effective Date for Amendments to TRACE rules

The SEC approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules and dissemination protocols to provide for dissemination of transactions in an additional group of asset-backed securities and to reduce the time frame for reporting such transactions, other than Fixed or List Price and Takedown Transactions. Transactions in asset-backed securities effected pursuant to … Continue reading Effective Date for Amendments to TRACE rules →

SEC Request for Comment on Proposed NMS Plan Amendments

The SEC requests comment on proposals by the exchanges and FINRA to amend the Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, and the Consolidated Tape and Consolidated Quotation Plans (collectively, the "Plans") to require Plan participants to include … Continue reading SEC Request for Comment on Proposed NMS Plan Amendments →

FINRA Boot Camp: Supervision and AML Compliance

Half-day compliance boot camps are local educational programs that focus on basic regulatory requirements and compliance responsibilities. Through a combination of classroom training and case studies, compliance professionals who are new to their role or those looking for a refresher gain valuable insights on compliance activities for immediate application to the workplace.

2015 Foundations of Web CRD/IARD Training

M & T Bank Learning & Resource Center One Fountain Plaza, First floor, Buffalo, NY, United States

The 2015 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. The two-day program offers practical, hands-on and comprehensive training. Three more sessions are being … Continue reading 2015 Foundations of Web CRD/IARD Training →

FINRA Boot Camp: Suitability & Managing Conflicts

Atlanta District Office One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Suitability & Managing Conflicts →

$195.00

2015 Foundations of Web CRD/IARD Training

M & T Bank Learning & Resource Center One Fountain Plaza, First floor, Buffalo, NY, United States

The 2015 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. The two-day program offers practical, hands-on and comprehensive training. Three more sessions are being … Continue reading 2015 Foundations of Web CRD/IARD Training →

District 8 Chicago – District Compliance Event

The Westin Lombard Yorktown Center Lilac Meeting Room 70 Yorktown Shopping Center, Lombard, IL, United States

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. - See more at: Regional Event.

Comment Period Ends: SEC Request for Public Feedback to Inform Policy for Exchange-Traded Products

U.S. securities regulators are asking the public to weigh in on how new and novel exchange-traded products should be listed, marketed and traded, as part of an effort to potentially write new rules for the sector. The Securities and Exchange Commission cited an ever-increasing number of requests by funds to launch new kinds of complex … Continue reading Comment Period Ends: SEC Request for Public Feedback to Inform Policy for Exchange-Traded Products →

2015 SIFMA FMS Regional Conference

Hyall Magnificent Mile Chicago, IL, United States

Join industry and regulatory leaders in Chicago on June 17-19 for the latest economic developments as well as important updates on accounting, tax rules and proposals, and regulations. New to the 2015 SIFMA FMS Regional Conference program is the Treasury Panel and a look at the new SEC 17a-5 Compliance Reporting requirements. The Regulator Panel … Continue reading 2015 SIFMA FMS Regional Conference →

$595.00

Volcker Implementation Webinar: Countdown to Compliance

Join SIFMA to hear about the industry efforts to roll out Volcker Rule compliance programs as the industry approaches the July 21, 2015 compliance date for the Volcker Rule. The webinar will feature expert panelists who will address issues related to both the proprietary trading and covered funds provisions of the Volcker Rule. A question … Continue reading Volcker Implementation Webinar: Countdown to Compliance →

$99.00

FINRA Comment Period Ends on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms

Summary: On March 25, 2015, the Securities and Exchange Commission (SEC) proposed amendments to Rule 15b9-1 under the Securities Exchange Act of 1934 (SEA or Exchange Act), which currently provides many proprietary trading firms with an exemption from membership in a national securities association. If adopted, the amendments generally would require a proprietary trading firm … Continue reading FINRA Comment Period Ends on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms →

FINRA Boot Camp: Supervision, and Supervision of Complex Products

Hotel Nikko San Francisco 222 Mason Road, Golder Gate Room, San Francisco,, CA, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision, and Supervision of Complex Products →

$195.00

FINRA Boot Camp: Cybersecurity and Supervision

FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Cybersecurity and Supervision →

$195.00

FINRA 2015 Risk Control Assessment Due Date

The 2015 Risk Control Assessment (RCA) which was issued  on June 22.  FINRA has requested that the survey be completed by Friday, July 17, 2015.  

FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections

Omni Los Angeles Hotel at California Plaza 251 South Olive Street, Los Angeles, CA, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections →

$195.00

Effective Date of consolidated FINRA Rule 3110(e)

The SEC approved FINRA’s proposed rule change to adopt NASD Rule 3010(e) (Qualifications Investigated) relating to background checks on registration applicants as FINRA Rule 3110(e).  FINRA Rule 3110(e) becomes effective on July 1, 2015. 3110(e) is based in part on substantially similar provisions in NASD Rule 3010 (e) and includes new provisions relating to the … Continue reading Effective Date of consolidated FINRA Rule 3110(e) →

FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public

FINRA is soliciting comment on proposed amendments to the FINRA rules governing communications with the public. The proposed amendments would revise the filing requirements in FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2214 (Requirements for the Use of Investment Analysis Tools) and the content and disclosure requirements in FINRA Rule 2213 (Requirements … Continue reading FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public →

FINRA Boot Camp: Supervision and Branch Office Inspections

Westin Galleria 5060 West Alabama, Houston, TX, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections →

$195.00

FINRA Institute at Wharton CRCP Program Week I

Only a few weeks remain for you to enroll in the initial course of the FINRA Institute at Wharton Certified Regulatory and Compliance ProfessionalTM (CRCPTM) program. Week I: Foundation takes place July 12 – 17, 2015, on the Wharton campus in Philadelphia, and focuses on case studies and interactive discussions designed to provide participants with … Continue reading FINRA Institute at Wharton CRCP Program Week I →

Free

Comment Period Ends for MSRB Requests on Alternative Standard of Independence for Investor Representative on its Board

The Municipal Securities Rulemaking Board (MSRB) is requesting comment on a proposal to modify the application of the standard of independence for the one public member of its Board of Directors designated to be representative of institutional or retail investors in municipal securities. Comments should be submitted to the MSRB no later than July 13, 2015. … Continue reading Comment Period Ends for MSRB Requests on Alternative Standard of Independence for Investor Representative on its Board →

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers

SEC Washington D.C. headquarters 100 F Street N. E., Washington D.C., DC, United States

WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The program is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance structures. The … Continue reading SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers →

Military Consumer Protection Day 2015

Securities and Exchange Commission Chair Mary Jo White is leading a  multi-agency event to support Military Consumer Protection Day 2015, highlighting how service members can best protect themselves and their finances from fraud and identity theft.  Other federal agencies participating include the  the U.S. Postal Inspection Service, the Department of Justice’s Service Members and Veterans … Continue reading Military Consumer Protection Day 2015 →

FINRA Boot Camp: Supervision and Suitability

The Langham Boston Hotel 250 Franklin Street, Boston, MA, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Suitability →

$195.00

FINRA Boot Camp: Supervision and Branch Office Inspections

FINRA Chicago District Office 55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections →

$195.00

Net Capital Computation (Month ending 06/30/2015)

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.

Comment Period Ends: Concept Proposal to Restructure Qualification Examination Program

The comment period ends July 27, 2015 on FINRAs concept proposal to restructure the registered representative-level qualification examination program into a format whereby all potential representative-level registrants would take a general knowledge examination and an appropriate specialized knowledge examination to reflect their particular registered role. For purposes of the proposal, the general knowledge examination would  be … Continue reading Comment Period Ends: Concept Proposal to Restructure Qualification Examination Program →

Comment Period Ends: Proposed Rule Change to Amend FINRA Rule Series Regarding Temporary & Permanent Cease and Desist Orders

The SEC requested comments on a proposal to amend FINRA Rule Series 9100, 9200, 9300, 9550 and 9800 to (1) modify the evidentiary standard that must be met to impose a temporary cease and desist order; (2) adopt a new expedited proceeding for repeated failures to comply with temporary or permanent cease and desist orders; (3) ease administrative burdens in temporary cease and desist proceedings; (4) harmonize the provisions governing how documents are served in temporary cease and desist proceedings and expedited proceedings; (5) clarify the process for issuing permanent cease and desist orders; and (6) make conforming changes throughout FINRA's Code of Procedure.

MSRB and Municipal Forum of New York Education and Outreach Seminar

Marriot New York Downtown 85 West Street, New York City, TX, United States

The Municipal Securities Rulemaking Board (MSRB) and the Municipal Forum of New York will host an education and outreach seminar on July 28, 2015 from 3:00 p.m.-5:30 p.m. at the Marriott New York Downtown, Grand Ball Room, 85 West Street, New York, NY. A reception will follow. The event will highlight the municipal market’s past, present and … Continue reading MSRB and Municipal Forum of New York Education and Outreach Seminar →

FINRA Boot Camp: Suitability and Managing Conflicts of Interest

Charlotte Convention Center 501 S. College Street, Charlotte, NC, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Suitability and Managing Conflicts of Interest →

$195.00

Ballots Due: FINRA Board of Governors Election

Ballots for FINRA's election to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors must be submitted prior to the Annual Meeting scheduled for July 30, 2015.

Webinar: Seven Safety Measures When Working with Senior Investors

As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.

This webinar will discuss the unique needs of senior investors, steps your firm should take when working with this growing demographic, and the serious implications of FINRA and the SEC’s recent influx of disciplinary actions and investor alerts. Please join the discussion July 30 at 1pm.

Continuing Education: Seven Safety Measures When Working with Senior Investors

As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.

Comment Period Ends on Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)

The SEC requested public comment on a proposal to amend FINRA Rule 2210 (Communications with the Public) to require a readily apparent reference and hyperlink to BrokerCheck® on: (1) the initial webpage that the member intends to be viewed by retail investors; and (2) any other webpage that includes a professional profile of one or more registered persons who conduct business with retail investors. These requirements would not apply to a member that does not provide products or services to retail investors, or to a directory or list of registered persons limited to names and contact information.

Comment Period Ends: Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories

The SEC requested comments on a proposal to amend NASD Rule 1032(f) (Limited Representative-Equity Trader) to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57). In addition, the proposal amends NASD Rule 1022(a) (General Securities Principal) to establish a Securities Trader Principal registration category. The proposal also makes technical conforming changes to the Form U4 (Uniform Application for Securities Industry Registration or Transfer).

FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections

Hilton Del Mar 15575 Jimmy Durante Blvd., Del Mar, CA, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections →

$195.00

FINRA Boot Camp: Supervision and Managing Conflicts of Interest

FINRA New Jersey District Office 581 Main Street - 7th Floor, Woodbridge, NJ, United States

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 coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Managing Conflicts of Interest →

$195.00

Comment Period Ends: FINRA Request for Revised Proposal to Adopt FINRA Rule Regarding Discretionary Accounts and Transactions

FINRA has requested comments on a revised proposal to adopt the NASD and Incorporated NYSE rules regarding discretionary accounts and transactions as FINRA Rule 3260 (Discretionary Accounts and Transactions by Persons Other Than the Customer) in the consolidated FINRA rule book. In addition,he revised proposal addresses the treatment of customers’ free credit balances, sweep programs, … Continue reading Comment Period Ends: FINRA Request for Revised Proposal to Adopt FINRA Rule Regarding Discretionary Accounts and Transactions →

Effective Date of FINRA Rule 2040 – Payment to Unregistered Persons

FINRA Rule 2040 ("Rule") governs the payment of transaction-based compensation by member firms to unregistered persons.  The new amendment to the Rule is effective August 24, 2015. The amended It expressly aligns the rule with Section 15(a) of the Securities Exchange Act of 1934 (SEA or Exchange Act) and its related guidance to determine whether … Continue reading Effective Date of FINRA Rule 2040 – Payment to Unregistered Persons →

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