FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (NASD Rule 3050)
Saturday, September 28 Available 8 a.m. – 6 p.m., ET
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 … Continue reading Review and update Firm Element Continuing Education Plan
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 … Continue reading SIFMA Compliance & Legal Society Charlotte Regional Seminar
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 … Continue reading 2014 FINRA Annual Conference Registration Information
FINRA assesses an annual support fee to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB”). The fee is assessed on a quarterly basis and is based … Continue reading Quarterly GASB Accounting Support Fee
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 … Continue reading Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions): Comment Deadlline
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 … Continue reading Nominations Due October 4: SFAB and District Committees
Saturday, October 5 Available 8 a.m. – 6 p.m., ET
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 … Continue reading FINRA Webinar—Suitability: Findings and Industry Practices
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 … Continue reading FINRA Half-Day Compliance Boot Camp
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 … Continue reading NAIPFA Annual 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 … Continue reading FINRA Advertising Regulation Conference
Saturday, October 12 Available 8 a.m. – 6 p.m., ET
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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2013)
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 … Continue reading SIFMA Market Structure Conference
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html
Saturday, October 19 Available 8 a.m. – 6 p.m., ET
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 … Continue reading 2013 NSCP National Meeting
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 … Continue reading Update: New SEC Financial Responsibility 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 … Continue reading Funding Portal Rules-Comments Requested
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 … Continue reading FINRA Requests for Comments: Regulatory Notice 10-1
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 … Continue reading Regulatory Notice 13-3 Securities Industry/Regulatory Council on Continuing Educaion Issues Firm Element Advisory Update
The Municipal Securities Rulemaking Board (MSRB) Board of Directors meets October 23-25, 2013, where it will discuss the following rulemaking topics.* A summary of actions taken by the Board at … Continue reading MSRB Board of Directors Meeting Agenda
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (NASD Rule 3050)
Saturday, October 26 Unavailable Web CRD/IARD Software Release 2013.4
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 … Continue reading Regulatory Notice 13-28: FINRA Revises the Series 16 Examination Program
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 … Continue reading New Entitlement Privileges for Web CRD/IARD
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 08/31/2013)
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 … Continue reading MSRB Rule A•14 (Annual Fee)
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 … Continue reading Illinois Renewal for Dealers
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 … Continue reading Deadline for FINRA Request for Comment: Notice 10-01
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 … Continue reading FINRA Institute at Wharton – Week II
Beginning November 11,2013, Preliminary Renewal Statements are available for viewing and printing on Web CRD/IARD.
Date: November 11 - 12, 2013 Our Annual Meeting brings leaders of the financial services industry together with prominent policymakers, thought leaders and financial media. Featuring keynote speakers President Bill … Continue reading SIFMA Annual Meeting & Tribute Dinner 2013
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html
Notice of FINRA District Committee Elections and Ballots Ballots Due: November 15, 2013 Executive Summary The purpose of this Notice is to inform firms of the upcoming elections to fill … Continue reading Notice of FINRA District Commitee Elections & Ballots
Notice of SFAB Election and Ballots Ballot Due Date: November 15, 2013 Executive Summary The purpose of this Notice is to distribute to eligible FINRA small firms the ballots to … Continue reading Notice of SFAB Election & Ballots
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 10/31/2013)
Date: November 28, 2013 www.finra.org/AboutFINRA/HolidaySchedule
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (NASD Rule 3050)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 09/30/2013)
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 … Continue reading District 9A (Philadelphia) District Compliance Meeting
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 … Continue reading Final Renewal Statement Payment
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 11/30/2013)
Web CRD and IARD are available on an abbreviated schedule from 7 a.m. until 1 p.m., ET, due to the holiday schedule.
www.finra.org/AboutFINRA/HolidaySchedule
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 … Continue reading Annual Deadline to Submit Form Filings with CRD/IARD
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (NASD Rule 3050)
FINRA 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 … Continue reading Review and update Firm Element Continuing Education Plan
Date: December 31, 2013
www.finra.org/AboutFINRA/Holiday Schedule
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 … Continue reading SEC News: SEC Removes References to NRSRO Ratings in Certain Rules and Forms
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 … Continue reading Final Renewal Statement Availability
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 … Continue reading Web CRD & IARD Available
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 … Continue reading SEC Requests Comments: Uniform Branch Registration Form
FINRA and the Wharton School offer the Certified Regulatory and Compliance Professional (CRCP) Program—an executive education experience that covers the theory and practical application of securities laws and regulation through … Continue reading Registration Date for lower rates to the CRCP Program at Wharton
The SEC requests comment on a proposal to add a new entrant, LavaFlow, to the Alternative Display Facility. The comment period expires January 7, 2014. See the Federal Register notice.
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 … Continue reading Full Payment of Final Renewal Due
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 … Continue reading MSRB Requests Comments to Proposed Changes to C.E. Program
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 … Continue reading SIFMA Event: Cross Border Regulation in the Global Marketplace
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 … Continue reading SIFMA Event: Securitization Spotlight Session
FOR IMMEDIATE RELEASE 2013-275 Washington D.C., Dec. 27, 2013 —The Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and … Continue reading SEC News: Agencies Reviewing Volcker Rule
The SEC requests comment on a proposal to update the rules governing the Alternative Display Facility (ADF) to, among other things, reflect regulatory requirements that have been put into place … Continue reading SEC Requests Comments: Alternative Display Facility
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html
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 … Continue reading FINRA ORF (OTC Reporting Facility) Migration of Technology Conference Call
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 … Continue reading SIFMA Event: New CFTC Voice Recording & Recordkeeping Rules
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 … Continue reading MSRB Event: Public Education & Outreach Seminar in Atlanta
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 … Continue reading SIFMA Event: 2014 Annual AML and Financial Crimes Conference
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 … Continue reading Outside Business Activity Review (NASD Rule 3050)
Deadline for receipt of FINAL Renewal Statement payments and reporting any Renewal Discrepancies.
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 … Continue reading 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 … Continue reading FINRA Requests Comments: Funding Portal Rules
13-43: SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds; Effective Date: February 3, 2014
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 … Continue reading FINRA offers Options Regulation Conference
www.finra.org/AboutFINRA/Holiday Schedule
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, … Continue reading FINRA Requests Comments: Comprehensive Automated Risk Data System (CARDS)
13-41: eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants: Effective Date: Monthly FOCUS Report Part II and Part II CSE Due on February 26, 2014, Covering the January 31, … Continue reading Updates to FOCUS Reports Part II and IICS Covering the Jan. 31, 2014 period
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 … Continue reading Exemption Expiration for New SEC Financial Responsibility Rules
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 … Continue reading FINRA offers Diversity Summit
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 … Continue reading SIFMA Event: IRLS (Insurance & Risk Linked Securities) Conference 2014
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 … Continue reading FINRA offers Fixed Income Conference
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 … Continue reading MSRB Notice 2013-20: SEC Approves Amendments to MSRB Rules G-11, G-8 & G-32.
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, … Continue reading SEC Approves Amendments to Equity Trade Reporting and OATS Rules
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 … Continue reading FINRA Annual Conference May 19 – 21, 2014 Washington, DC
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 … Continue reading SEC Celebrates 80th Anniversary
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 … Continue reading SIFMA Tech 2014
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 … Continue reading FINRA Announces Updates of the Interpretations of Financial and Operational 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 … Continue reading SIFMA Statement on SEC Approval of Cross-Border Swaps 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. … Continue reading SEC Adopts Cross-Border Security-Based Swap Rules
www.finra.org/AboutFINRA/HolidaySchedule
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 … Continue reading New Payments for Market Making Certification Requirement for FINRA Form 211