Form Custody Filings (period ended 03/31/2018)
Firms are required to file the Form Custody when they submit their Focus filings.
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Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter.
FINRA AML Half-Day Seminar
Costa Mesa Marriot 500 Anton Blvd., Costa Mesa, CA, United StatesFINRA’s AML Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems. The seminars are … Continue reading FINRA AML Half-Day Seminar
FINRA Midwest Region Member Forum
W Chicago Hotel City Center 172 West Adams Street, Chicago, Illinois, United StatesThe FINRA Midwest Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The seminar also includes thoughtful discussions around the future landscape of the financial services … Continue reading FINRA Midwest Region Member Forum
FINRA Requests Comments: Outside Business Activities Rules
Comments are due April 27, 2018, on FINRA's proposed new rule to address the outside business activities of registered persons. The proposal is the result of FINRA's recent retrospective review of FINRA's rules governing outside business activities and private securities transactions, FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private … Continue reading FINRA Requests Comments: Outside Business Activities Rules
Supplementary Inventory Schedule Reporting period end date of 03-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of … Continue reading Supplementary Inventory Schedule Reporting period end date of 03-31-2018
Outside Business Activity Review (FINRA Rule 3270)
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 (FINRA Rule 3270)
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 03/31/2018)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475
Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2018)
MSRB Rule G-37 Quarterly Reporting Deadline
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth, in the prescribed format, the following information: (A) for contributions to officials of issuers (other than a contribution made by a … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline
Annual Audit Filing Due Date (Period Ending 02/28/2018)
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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending 02/28/2018)
Form OBS Quarterly filing due for Q1 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q1 2018
SIFMA Operations Conference and Exhibition
JW Marriot Phoenix Desert Ridge 5350 East Marriot Drive, Phoenix, ArizonaFor 45 years, SIFMA’s Operations Conference & Exhibition has gathered operations, technology and regulatory leaders from across the securities industry to collaborate, share information and address challenges. As the industry continues to evolve – responding to regulatory changes, shortening the settlement cycle, tapping into the transformative potential of technology and driving smarter efficiencies – today’s … Continue reading SIFMA Operations Conference and Exhibition
Enhanced Disclosures planned for FINRA Rule 2232
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities FINRA recently adopted enhanced confirmation disclosure requirements for corporate and agency debt securities. Beginning May 14, 2018, members will be subject to the new requirements, set out in Rule 2232, concerning confirmation disclosure of mark-ups and mark-downs, time … Continue reading Enhanced Disclosures planned for FINRA Rule 2232
FINRA Half-Day Compliance Boot Camps – District 10 New York
FINRA New York District Office Brookfield Place 200 Liberty Street, New York, United StatesDistrict 10 Half Day Compliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. May 14, 2018 10:30 a.m. - 2:30 p.m. FINRA District Office Brookfield Place 200 Liberty … Continue reading FINRA Half-Day Compliance Boot Camps – District 10 New York
FINRA Half-Day Compliance Bootcamp – District 7 Boca Raton
FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United StatesDistrict 7 - Boca Raton - Half-Day Compliance Boot Camp May 15, 2018 9:30 a.m. - 1 p.m. FINRA District Office 5200 Town Center Circle, Suite 200 Boca Raton, FL 33486 (561) 443-8000 Topics Effective Practices for Working With Senior Investors Supervision
FINRA Registration and Disclosure Boot Camp
FINRA 9509 Key West Avenue, Rockville, MD, United StatesThe FINRA Registration and Disclosure Boot Camp is beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training will offer practical and comprehensive training on disciplinary events and hot topics in the RAD Department. This training session is intended … Continue reading FINRA Registration and Disclosure Boot Camp
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
2018 FINRA Annual Conference
Cipriani 25 Broadway, New York City, NY, United StatesRegistration is now open for the 2018 FINRA Annual Conference. Join leaders of firms of all sizes, compliance professionals, securities attorneys, government officials, FINRA senior leaders and representatives from other securities regulators for a three-day event dedicated to the most important issues affecting the securities industry. Reduced rates are available for the first 100 in-person … Continue reading 2018 FINRA Annual Conference
Net Capital Computation (Month ending 04/30/2018)
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.
Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month. The fifth FOCUS filing is required for every broker or dealer who does not carry … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2018)
Outside Business Activity Review (FINRA Rule 3270)
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 (FINRA Rule 3270)
Friday before Memorial Day – Early close 3:00 p.m.
FINRA operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a holiday. http://www.finra.org/AboutFINRA/HolidaySchedule
Supplementary Inventory Schedule Reporting period end date of 04-30-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of … Continue reading Supplementary Inventory Schedule Reporting period end date of 04-30-2018
Annual Audit Filing Due Date (Period Ending March 31, 2018)
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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending March 31, 2018)
FINRA Half-Day Compliance Boot Camp – District 9 – Philadelphia
Omni Richmond Hotel 100 S. 12th Street, Richmond, VA, United StatesDistrict 9 - Philadelphia Half-Day Compliance Boot Camp June 12, 2018 8:30 a.m. - 1:30 p.m. Omni Richmond Hotel 100 S. 12th Street Richmond, VA 23219 (804) 344-7000 Topics Effective Practices for Working With Senior Investors Social Media
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
SIFMA’s FinTech Conference
SIFMA Conference Center New York City, NY, United StatesFinTech continues to drive the transformation of the securities industry: artificial intelligence and machine learning are giving firms new insights, blockchain projects are moving closer to production, and robotics are pushing the boundaries of industry operations. As this new technology moves out of the lab and into the heart of the securities industry, what risk … Continue reading SIFMA’s FinTech Conference
Monthly & Fifth FOCUS IIA Filings (Month ending 05/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month. The fifth FOCUS filing is required for every broker or dealer who does not carry … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 05/31/2018)
Supplementary Inventory Schedule Reporting period end date of 05-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of … Continue reading Supplementary Inventory Schedule Reporting period end date of 05-31-2018
Outside Business Activity Review (FINRA Rule 3270)
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 (FINRA Rule 3270)
Annual Audit Filing Due Date (Period Ending April 30, 2018)
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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending April 30, 2018)
Review and update Firm Element Continuing Education Plan
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and update Firm Element Continuing Education Plan
FINRA Half-Day Compliance Bootcamp – District 8 – Chicago
FINRA Chicago District Office 55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, United StatesHalf-Day Compliance Boot Camps 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 … Continue reading FINRA Half-Day Compliance Bootcamp – District 8 – Chicago
FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta
Atlanta District Office One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United StatesHalf-Day Compliance Boot Camps 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 … Continue reading FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2018)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2018)
Extension to Implement FINRA Rule 4240
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 4240 (Margin Requirements for Credit Default Swaps) to extend to July 18, 2018 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to … Continue reading Extension to Implement FINRA Rule 4240
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
Form Custody Filings (period ended 06/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2018)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter.
Outside Business Activity Review (FINRA Rule 3270)
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 (FINRA Rule 3270)
Disclosure of Order Routing Practices (SEC Rule 606) (Q2 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q2 2018)
FINRA Half-Day Compliance Boot Camp – District 3 – Denver
Renaissance Seattle Hotel 515 Madison Street, Seattle, WA, United StatesHalf-Day Compliance Boot Camps 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 … Continue reading FINRA Half-Day Compliance Boot Camp – District 3 – Denver
Supplementary Inventory Schedule Reporting period end date of 06-30-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement … Continue reading Supplementary Inventory Schedule Reporting period end date of 06-30-2018
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2018)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475
Annual Audit Filing Due Date (Period Ending 5/31/2018)
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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending 5/31/2018)
MSRB Rule G-37 Quarterly Reporting Deadline – Q2 2018
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth, in the prescribed format, the following information: (A) for contributions to officials of issuers (other than a contribution made by a … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline – Q2 2018
SIPC Assessments (Year ending 06/30/2018) SIPC 6
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 06/30/2018) SIPC 6
Form OBS Quarterly filing due for Q2 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q2 2018
FINRA Half-Day Compliance Boot Camp District 2 – Los Angeles
Hilton Del Mar 15575 Jimmy Durante Blvd., Del Mar, CA, United StatesAugust 9, 2018 9:00 a.m. - 1:00 p.m. Hilton San Diego Del Mar 15575 Jimmy Durante Blvd. Del Mar, CA 92014 (858) 792-5200 Topics Supervision Social Media
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
FINRA 2018 Fixed Income Conference
InterContinental New York Times Square 300 West 44th Street, New York, United StatesFINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. Location InterContinental New York Times Square 300 West 44th Street New York, NY 10036 (214) 803-4500 Accommodations A room block is available at the InterContinental New York Times Square hotel at the special rate of $389 … Continue reading FINRA 2018 Fixed Income Conference
Net Capital Computation (Month ending 07/31/2018)
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.
Monthly & Fifth FOCUS Part II/IIA Filings (Month ending 7/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month. The fifth FOCUS filing is required for every broker or dealer who does not … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings (Month ending 7/31/2018)
Supplementary Inventory Schedule Reporting period end date of 07-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement … Continue reading Supplementary Inventory Schedule Reporting period end date of 07-31-2018
FINRA Half-Day Compliance Boot Camp District 8 – Southfield Detroit
The Westin Southfield Detroit 1500 Town Center, Southfield, MI, United StatesHalf-Day Compliance Boot Camps 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 … Continue reading FINRA Half-Day Compliance Boot Camp District 8 – Southfield Detroit
Annual Audit Filing Due Date (Period Ending 6/30/2018)
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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending 6/30/2018)
Outside Business Activities Review
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 Activities Review
FINRA 2018 Fixed Income Conference
InterContinental New York Times Square 300 West 44th Street, New York, United StatesFINRA’s Fixed Income Conference on Sept. 13, 2018 focuses on current market impacts on fixed income, and how regulators and firms are responding. Location InterContinental New York Times Square 300 West 44th Street New York, NY 10036 (214) 803-4500 Accommodations A room block is available at the InterContinental New York Times Square hotel at the … Continue reading FINRA 2018 Fixed Income Conference
FINRA Half-Day Compliance Boot Camp – District 5 – Dallas
FINRA Dallas District Office 12801 North Central Expressway, Suite 1050, Dallas, TX, United StatesCompliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Half-Day Compliance Boot Camp – District 5 – Dallas
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
FINRA Half-Day Boot Camp – Kansas City – District 4
DoubleTree Hotel St. Louis at Westport 1973 Craigshire, St. Louis, MO, United StatesHalf-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 Boot Camp – Kansas City – District 4
FINRA Registration and Disclosure Boot Camp
FINRA 9509 Key West Avenue, Rockville, MD, United StatesThe FINRA Registration and Disclosure Boot Camp is beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training will offer practical and comprehensive training on disciplinary events and hot topics in the RAD Department. This training session is intended … Continue reading FINRA Registration and Disclosure Boot Camp
Monthly & Fifth FOCUS Part II/IIA Filings ( Month ending 8/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month. The fifth FOCUS filing is required for every broker or dealer who does not carry … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings ( Month ending 8/31/2018)
Outside Business Activity Review (FINRA Rule 3270)
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 (FINRA Rule 3270)
Review and update Firm Element Continuing Education Plan
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and update Firm Element Continuing Education Plan
Supplementary Inventory Schedule Reporting period end date of 08-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of … Continue reading Supplementary Inventory Schedule Reporting period end date of 08-31-2018
SIFMA Annual Meeting
Mandarin Oriental 1330 Maryland Avenue SW, Washington, D.C., DC, United StatesEach fall, SIFMA’s Annual Meeting gathers in Washington, D.C. for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Mark your calendar to join us on October 1-2, 2018 at the Mandarin Oriental, Washington DC for expert insights and unparalleled networking with the foremost policymakers, regulators and financial market experts.
Annual Audit Filing Due Date (Period Ending 7/31/2018)
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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending 7/31/2018)
FINRA Half-Day Compliance Boot Camp – District 11 – Boston
Stamford Marriot Hotel 243 Tresser Blvd., Stamford, CT, United StatesHalf-Day Compliance Boot Camps 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 … Continue reading FINRA Half-Day Compliance Boot Camp – District 11 – Boston
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)
AICPA and SIFMA FMS National Conference on the Securities Industry
SIFMA Conference Center New York City, NY, United StatesJoin senior executives and regulatory policymakers at The National Conference on the Securities Industry this fall to examine the latest developments in evolving securities regulations, auditing and accounting requirements. Hosted by the American Institute of Certified Public Accountants (AICPA) and the SIFMA Financial Management Society (SIFMA FMS).
FINRA Half-Day Compliance Boot Camp District 10 – Long Island
FINRA District Office Jericho, N. Y. Two Jericho PlazaHalf-Day Compliance Boot Camps 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 … Continue reading FINRA Half-Day Compliance Boot Camp District 10 – Long Island
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
FINRA Renewal Program – U5 & BR Closing Submissions
Firms may begin to submit post-dated Form U5 and BR Closing/Withdrawals, which must be dated 12/31/18.
FINRA Renewal Program – Post Dated Submissions
Firms may begin to submit post-dated Forms U5 and BR Closing/Withdrawal, which must be dated 12/31/2018.
Form Custody Filings (period ended 09/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly FOCUS Part llA Filings (Quarter ending 09/30/2018)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter. taft.law.uc.edu/CCL/34ActRls/rule17a-5.html
FINRA Half-Day Boot Camp – New York – District 10
FINRA District Office Jericho, N. Y. Two Jericho PlazaHalf-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 Boot Camp – New York – District 10
Outside Business Activity Review (FINRA Rule 3270)
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 (FINRA Rule 3270)
Supplementary Inventory Schedule Reporting period end date of 09-30-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of … Continue reading Supplementary Inventory Schedule Reporting period end date of 09-30-2018
SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers
The SEC (Commission) is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange Act”). The amendment would provide that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer’s annual reports if, among other things, the securities business … Continue reading SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers
Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2018)
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2018)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. finra.complinet.com/en/display/display.html
2018 North Region Member Forum – Boston
Hyatt Regency Boston One Avenue de Lafayette, Boston, Massachusetts, United StatesThe North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry. … Continue reading 2018 North Region Member Forum – Boston
Annual Audit Filing Due Date (Period Ending August 31, 2018)
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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending August 31, 2018)
MSRB Rule G-37 Quarterly Reporting Deadline Q3 2018
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth, in the prescribed format, the following information: (A) for contributions to officials of issuers (other than a contribution made by a … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline Q3 2018
MSRB Rule A·14 (Annual Fee)
MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual fee to the Board of $500, with respect to each fiscal year of the Board in which the broker, dealer, municipal securities dealer, or municipal … Continue reading MSRB Rule A·14 (Annual Fee)
Form OBS Quarterly filing due for Q3 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q3 2018
FINRA Post-Dated Submissions
Firms may begin to submit post-dated Forms BDW and ADV-W, which must be dated 12/31/18.
SEC Request for Comments: Amendments to Rules for Nationally Recognized Statistical Rating Organizations
The Securities and Exchange Commission ("Commission") is proposing amendments to rules for nationally recognized statistical rating organizations ("NRSROs") under the Securities Exchange Act of 1934 ("Exchange Act"). The amendments would provide an exemption from a rule for NRSROs with respect to credit ratings if the issuer of the security or money market instrument referred to … Continue reading SEC Request for Comments: Amendments to Rules for Nationally Recognized Statistical Rating Organizations
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
FINRA requests comment from member firms and other interested parties on enhancements to the Securities Industry Continuing Education Program (CE Program) under consideration by the Securities Industry/Regulatory Council on Continuing Education (CE Council). These enhancements include the transition of the Regulatory Element program to a more focused and shorter learning requirement administered annually. The CE … Continue reading FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton
Boca Raton Marriot 5150 Town Center Circle, Boca Raton, Florida, United StatesFINRA’s Anti-Money Laundering (AML) Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems. The … Continue reading FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton
2018 FINRA Small Firm Conference
Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CAThe Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA senior staff. Location Fairmont Miramar Hotel & Bungalows, Santa Monica 101 Wilshire Boulevard Santa Monica, CA 90401 Tel: (866) 964-7262 Accommodations A room block has been … Continue reading 2018 FINRA Small Firm Conference
FINRA Renewal Program – CRD & IARD Unavailable
Web CRD and IARD are unavailable Nov. 10 as Preliminary Statements are generating.