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'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→
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/
Members of SIPC are required to pay their assessment on SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to be filed by all members of the Securities Investor Protection Corporation for the first half of each fiscal year, due no later than 30 days … Continue reading SIPC Assessments (Year ending 12/31/2014) SIPC 7→
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/
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.
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→
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. Six sessions are being offered: … Continue reading 2015 Foundations of Web CRD/IARD Training→
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→
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→
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→
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→
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→
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→
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→
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→
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→
Chairman and CEO Rick Ketchum gave testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services. For the full text of his testimony, click here
Read Chairman and CEO Rick Ketchum's testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services.
FINRA plans to administer this year's RCA in the May/June timeframe—and will announce the specific date in the Weekly Update email. The RCA is an important part of FINRA's risk-based examination program, in that the information collected from firms helps us better understand firms' businesses so examiners can arrive for examinations focused on any areas … Continue reading FINRA 2015 Risk Control Assessment (RCA) Survey→
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→
On May 12, 2015, FINRA announced that the NAC revised its Sanction Guidelines to call for tougher sanctions against those who commit fraud. For the complete new release, click here.
FINRA is conducting a retrospective review of the membership application rules to assess their effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with these specific rules. The comment period expires May 14, 2015.
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→
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.
Advisers: Mind your recommended fund lineups, review plan sponsor contracts The U.S. Supreme Court made its decision on a key 401(k) lawsuit Monday, and the takeaway for retirement plan advisers is a simple one: Keep a close eye on your recommended fund lineups and review your contracts with plan sponsors. The retirement plan industry has … Continue reading Supreme Court hands down decision in key 401(k) lawsuit→
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 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.
This podcast is the second in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Spring 2015 Firm Element Advisory.
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→
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→
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→
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→
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→
The SEC requests comment on a proposal to adopt FINRA Rule 2272 (Sales and Offers of Sales of Securities on Military Installations) to govern sales or offers of sales of securities on the premises of any military installation to members of the U.S. Armed Forces or their dependents. The comment period expires June 2, 2015. … Continue reading SEC Request for Comment on FINRA Rules→
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→
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.
FINRA plans to administer this year's RCA in the May/June timeframe—and will announce the specific date in the Weekly Update email. The RCA is an important part of FINRA's risk-based examination program, in that the information collected from firms helps us better understand firms' businesses so examiners can arrive for examinations focused on any areas … Continue reading 2015 Risk Control Assessment (RCA) Survey→
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→
The annual meeting of FINRA firms will take place on or about Thursday, July 30, 2015, to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed … Continue reading FINRA Board of Governors Election: Petitions for Candidacy Due→
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→
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→
During this free webinar, MSRB staff will provide a review of the content outline for the first qualifying exam for municipal advisors and instructions on how to register for the pilot exam. To register for the webinar, click here.
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.
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→
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→
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→
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→
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→
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→
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 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→
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→
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→
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→
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→
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→
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→
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.
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→
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.
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→
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→
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.
The SEC requests comment on a proposal to expand FINRA's alternative trading system (ATS) transparency initiative to publish the remaining equity volume executed over-the-counter by FINRA members, including, among other trading activity, non-ATS electronic trading systems and internalized trades.
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.
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.
FINRA Board
1735 K Street NW, Washington DC, DC, United States
FINRA will conduct its annual meeting of firms on Thursday, July 30, 2015, at 2 p.m. Eastern Time at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of … Continue reading Notice of Annual Meeting of FINRA Firms→
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.
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).
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→
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→
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→
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 Notice to Member 15-07 noted that the amendments to FINRA Rule 8311 would be effective August 24, 2015. In general, the amendments to FINRA Rule 8311 eliminate duplicative provisions in NASD IM-2420-2 and clarify the scope of the rule on payments by member firms to persons subject to suspension, revocation, cancellation, bar (each a … Continue reading Effective Date of amended FINRA Rule 8311→
The comment period ends on August 24, 2015 for a FINRA proposal to reduce the delay period for the Historic TRACE Data Sets from 18 months to six months. For more information, see Regulatory Notice 15-24.
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→
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)→
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→
