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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 →

Effective Date of FINRA Rule 0190

FINRA Notice to Members 15-07 noted that  the effective date of Rule 0190 is August 24, 2015.  Rule 0190 is based largely on NASD IM-2420-1(a) (Transactions Between Members and Non-Members; Non-members of the Association) and provides that a member firm will be considered as a non-member of FINRA from the effective date of any order … Continue reading Effective Date of FINRA Rule 0190 →

FINRA Boot Camp: Supervision and Branch Office Inspections

Renaissance St. Louis Grand Hotel 800 Washington Avenue, St. Louis, MO, 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

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) →

Comment Period Ends: FINRA Rule 3210 replacing NASD 3050

The SEC requests comment on a proposal to adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) into the Consolidated FINRA Rulebook and to delete NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02. The proposed rule addresses accounts opened or established by associated persons … Continue reading Comment Period Ends: FINRA Rule 3210 replacing NASD 3050 →

NSCP Offers Free Webinar: Managing Investment Compliance

On the surface, the automated compliance library can appear to be smooth sailing. But when you look below the surface, do you really know what lies beneath? Uncontrolled library growth, inconsistent interpretation of mandates, rules that don’t match actual trading activity or regulations, false positives, excessive overrides and data issues are just a few of … Continue reading NSCP Offers Free Webinar: Managing Investment Compliance →

2015 Foundations of Web CRD/IARD Training

FINRA 9509 Key West Avenue, Rockville, MD, 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 →

SIFMA: T + 2 Symposium

SIFMA Conference Center New York City, NY, United States

Stephen Luparello, SEC Director of Trading and Markets, will deliver the keynote address at the T+2 Symposium: The Road to a Shortened Settlement Cycle, in NYC on Sept. 17. Senior operations, technology, legal and compliance, risk, and corporate actions professionals, as well as service providers and regulators, will discuss the industry's progression from the selection … Continue reading SIFMA: T + 2 Symposium →

FINRA Half-Day Compliance Boot Camp: Boca Raton, Florida

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

FINRA Half-day Compliance Boot Camp focuses 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 the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.

FINRA Rule Start Date: Series 50 Exam Fee

Rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to establish an administration and delivery fee for the new Municipal Advisor Representative Examination (“Series 50 examination”). Click here for full discussion of rule change.

FINRA Rule Start Date: NASD Rule 3040 now FINRA Rule 3280

Rule change to adopt NASD Rule 3040 (Private Securities Transactions of an Associated Person) as FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the consolidated FINRA rulebook without any substantive changes. FINRA also proposes to update cross-references within other FINRA rules accordingly.

Deadline to register for NSCP Annual Conference

Gaylord National Harbor Resort & Convention Center 201 Waterfront Street, National Harbor, MD, United States

September 22, 2015 is the last day to register for the National Society of Compliance Professional's Annual National Conference. Click here to register and get more information.

2015 OFAC (Office of Foreign Assets Control) Fall Symposium

Walter E. Washington Event Center 801 Mount Vernon Place NW, Washington, D.C., United States

The 2015 OFAC Fall Symposium will be held in Washington, DC on September 22, 2015. The symposium will provide a comprehensive review of current U.S. economic sanctions. It will include presentations on OFAC regulations, as well as targeted reviews of sanctions concerns for new and updated OFAC-administered programs.

FINRA Half-Day Compliance Boot Camp: Seattle

Union Square Conference Center Suite 5121/5122 601 Union Street, 51st Floor , Seattle, WA, United States

FINRA Half-day Compliance Boot Camp focuses 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 the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.

FINRA Half-Day Compliance Boot Camp: New York

FINRA New York District Office Brookfield Place 200 Liberty Street, New York, 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 Half-Day Compliance Boot Camp: New York →

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) →

FINRA Revises the Series 4 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 the examinations cover. Based on this review process, FINRA has revised the Registered Options Principal (Series 4) examination program. The changes are reflected in … Continue reading FINRA Revises the Series 4 Examination Program →

Volcker Rule Seminar

SIFMA Conference Center New York City, NY, United States

SIFMA’s Volcker Rule Seminar, on September 30th at the SIFMA Conference Center in New York City, will bring together experts from the industry, government and law firms to discuss the current compliance and enforcement issues post the July 21st compliance date.

MSRB to Raise Annual and Initial Fees

The MSRB’s current fee for initial registration under Rule A-12 is $100, an amount that has not been changed since its inception in 1975. During its fee review, the MSRB Board concluded that an increase in the initial registration fee from $100 to $1,000 was reasonable to help defray a significant portion of the administrative and operational costs associated with processing an initial registration.

Effective Date of MSRB Fee Increase

The Municipal Securities Rulemaking Board (MSRB) announced in Regulatory Notice 2015-13 that it will be raising the fees assessed to its registrants (brokers, dealers, and municipal securities dealers (collectively "dealers") and municipal advisors (collectively "regulated entities"), effective October 1, 2015.

2016 FINRA Annual Conference: Special Discounted Registration Rate

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

Interested in getting a discounted registration rate on the 2016 FINRA Annual Conference May 23-25, 2016? FINRA is offering discounts for those who meet requirements before Oct. 1. The special discounted rate for the first 100 in-person registrants is non-refundable. For all other registration categories, a full refund—less a $150 processing fee—will be granted to … Continue reading 2016 FINRA Annual Conference: Special Discounted Registration Rate →

2015 SILA National Education Conference

Gaylord Opryland Resort & Convention Center 2800 Opryland Drive, Nashville, United States

SILA National Education Conference, walk with us and get inspired by innovative ideas of how to move insurance licensing and securities registration issues

FINRA Advertising Regulation Conference

Renaissance Washington D.C. Hotel 999 Ninth Street, NW, Washington, D.C., DC, United States

Attend this event to hear about proposed changes and new developments involving the communications rules. Also, gain practical guidance on the advertising standards from industry and FINRA experts. Discounted registration rates are available through September 16.

Women in Asset Management

SIFMA Conference Center New York City, NY, United States

Speakers will share their experience and perspectives on how women can best position themselves to identify opportunities emerging from changes in regulation and technology, and insights on how to carve out leadership roles within an evolving Asset Management industry. The event will also highlight the role of mentorship and sponsorship as well as best practices … Continue reading Women in Asset Management →

SIFMA’s Senior Investors Forum

SIFMA Conference Center New York City, NY, United States

SIFMA’s Senior Investors Forum: Serving the Needs of Our Aging Investors brings together advisors, regulators, compliance officers, attorneys and academic experts to discuss the innovative practices in place to ensure our aging clients are properly protected against those seeking to part them from their hard-earned savings and rob them of their retirement security. Currently, Americans … Continue reading SIFMA’s Senior Investors Forum →

SIFMA Global Tax Reporting Symposium

SIFMA Conference Center New York City, NY, United States

The SIFMA Global Tax Reporting Symposium, providing in-depth perspective on financial services reporting and withholding in today’s global marketplace, will bring together industry and government experts to discuss three evolving tax compliance regimes: FATCA: Foreign Account Tax Compliance Act CRS: OECD Common Reporting Standard Section 871(m) of the Internal Revenue Code The symposium will explore … Continue reading SIFMA Global Tax Reporting Symposium →

National Cybersecurity Symposium

On October 21 and 22, 2015, the FBI, U.S. Secret Service (USSS) and the Department of the Treasury will host open houses at locations across the country to enhance collaboration between the financial services sector and federal law enforcement entities on cybersecurity. Session attendees will gain further insight into the capabilities of the FBI and USSS, a better understanding of cybersecurity threats and information about how to incorporate collaboration with law enforcement into internal incident response plans.

Comment Period Ends: Proposal to Amend FINRA Rule 8312

The SEC has requests comment on a proposal to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the 15-day waiting period for the release of information reported on Form U5 (Uniform Termination Notice for Securities Industry Registration) through BrokerCheck. The comment period expires October 22, 2015.

Net Capital Computation (Month ending 09/30/2015)

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: Proposal to Amend FINRA Rule 0150

The SEC requested comments on a proposal to amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) so that FINRA Rule 2121 (Fair Prices and Commissions) and its Supplementary Material .01 and .02, which govern mark-ups and commissions, will apply to transactions in, and business activities relating to, exempted securities that are government securities. The comment period expires October 27, 2015.

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) →

NSCP: National Society of Compliance Professionals

Gaylord National Harbor Resort & Convention Center 201 Waterfront Street, National Harbor, MD, United States

You are invited to attend the NSCP's annual National Conference  for the most comprehensive educational offering within the financial services industry covering over 80 topics, encompassing broker-dealer, investment adviser, investment company, municipal advisor and private fund/hedge fund compliance issues.   The workshops, labs and roundtable discussions are all led by experienced industry veterans who focus on the practical … Continue reading NSCP: National Society of Compliance Professionals →

Amendments to Trace Reports Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports – Effective Date

Amendments to the TRACE reporting rules were approved by the SEC to the to permit FINRA to implement a new contra-party type for use by firms in identifying transactions with non-member affiliates. The amendment also requires firms to separately identify transactions with non-member affiliates that occur within the same day, at the same price and … Continue reading Amendments to Trace Reports Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports – Effective Date →

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