Members of SIPC are required to pay an assessment of .0025 of 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 … Continue reading SIPC Assessments (Year ending November 30, 2012) SIPC 6 →

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.

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

The FINRA Institute at Wharton CRCP program, which is delivered through the Wharton School at the University of Pennsylvania, provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. The Week I Program is meant to provide a foundation, leveraged from case studies … Continue reading FINRA Institute at Wharton – Week I →

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.

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) →

Unavailable Holiday Weekend

www.finra.org/AboutFINRA/HolidaySchedule

Monday, September 2 Unavailable Holiday – Labor Day  

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. For more information including discussion topics, see the individual program descriptions below. Date Event Location and Venue Fees Registration September 4, 2013 1:30 … Continue reading District 6 (Dallas) Compliance Meeting →

The Municipal Securities Rulemaking Board (MSRB) today filed with the Securities and Exchange Commission revised amendments to MSRB Rule G-8, Rule G-11 and Rule G-32 on retail order periods.   The revised amendments are in response to comments received by the SEC on the MSRB’s original rule filing, which aimed to address concerns that new … Continue reading MSRB Files with SEC Revised Amendments to MSRB Rules on Retail Order Periods →

Saturday, September 7 Available 8 a.m. – 6 p.m., ET  

529 'Essentials' Seminar / September 9, 2013 529 Conference/ September 10-11, 2013 JW Marriott, Orlando Building off of the exceptional foundation that Joe Hurley and SavingforCollege.com have established over the past 10+ years, the 529 Conference 2013 − under the helm of Paul Curley of Strategic Insight's 529 practice area and the editors of PLANADVISER magazine … Continue reading MSRB 529 Seminar & Conference →

The Commitee on Financial Services Wednesday, September 11 @2:30PM Monetary Policy and Trade Chairman Jeb Hensarling Click here for the Committee Memorandum. Witness List Dr. Allan H. Meltzer, Professor of Political Economy, Tepper School of Business, Carnegie Mellon University Dr. Marvin Goodfriend, friends of Allan Meltzer, Professor of Economics, Tepper School of Business, Carnegie Mellon … Continue reading Government Financial Hearing entitled “The Fed Turns 100: Lessons Learned over a Century of Central Banking” →

Saturday, September 14 Available 8 a.m. – 6 p.m., ET  

2013 Foundations of Web CRD/IARD Training Sessions Conference Dates: September 16 & 17, 2013   8 a.m. - 5 p.m. ET, both days Fee:  $500.00 Location: FINRA 9509 Key West Avenue, Rockville, MD 20850   Are you new to Web CRD & IARD? Are you new to registration and licensing? Are you interested in a … Continue reading FINRA 2013 Foundations of Web CRD/IARD →

FINRA Issues New Investor Alert: Private Placements—Evaluate the Risks Before Placing Them in Your Portfolio WASHINGTON—The Financial Industry Regulatory Authority (FINRA) issued a new investor alert to caution investors that investing in private placements is risky and can tie up their money for a long time. A private placement is an offering of a company's securities … Continue reading FINRA Issues New Investor Alert: Private Placements →

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, September 21 Unavailable Scheduled Maintenance

Saturday, September 21 Unavailable Scheduled Maintenance  

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.

38th Bond Attorneys' Workshop Sep 25–27, 2013 Sheraton Chicago Hotel & Towers Chicago, Illinois For registration information and workshop highlights: http://www.nabl.org/education/event/bond-attorney-workshop   STAY ON TOP OF BEST PRACTICES AND NEW DEVELOPMENTS Will there be tax reform this year or next?  What is the SEC telling us we must do?  How do I understand and use … Continue reading 38th Bond Attorney’s Workshop →

What: Luncheon or may participate in webinar Where: SIFMA Conference Center 120 Broadway, NYC When: September 26, 2013 12:00-2:00 PM This session will feature: An overview of today's Financial Regulations and Customer Protection Market Regulation from the Regulator's Perspective A Dodd-Frank Basic Overview A brief SIFMA introduction and their role today within the regulatoy markets … Continue reading SIFMA Customer Protection and Regulation Overview Luncheon/Webinar →

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) →

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 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 →

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 feature presentations by leading securities regulators and industry professionals. Topics Include: Hot Topics In Securities Enforcement Cybersecurity Compliance Framework for Bank Supervision Investment Advisers – … 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 October 1 to take advantage of the lowest registration rates that are available to the first 100 in-person registrants. For more information, visit www.finra.org/annualconference

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 on member firm’s municipal securities trading volume for the prior quarter.   finra.complinet.com/en/display/display_viewall.html

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 Distributions) to allow members to rely on written representations from certain accounts to comply with Rule 5131(b) related to spinning. Please click on the link … 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 Election Notice provides details about the election process for New York Region vacancy. The District Committee Election Notice provides details about the seats open for … 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 and highlight examination methodology, common findings and effective industry practices for complying with the rule. Visit the FINRA website for more information and to register.

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 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 … 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   The National Association of Independent Public Finance Advisors (NAIPFA) is a professional organization limited to firms that specialize in providing financial advice on bond … 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 for communications with the public. Conference sessions address FINRA rules and interpretations as they apply to communications for investment company products, structured products and alternative … 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 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 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 experts discuss off-exchange trading venues; the benefits and challenges of electronic trading; identify the steps market participants should take to address the impact of systems … 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 Fund/Hedge Fund and Investment Company issues. When: October 21, 2013 - October 23, 2013   9:00 a.m.-4:00 p.m. ET Where: Washington Hilton 1919 Connecticut Ave., … 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 reporting and audit requirements under SEA Rule 17a-5. Certain of the new rules were to take effect on October 21, 2013. However, on October 17 … 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 crowdfunding provisions of the JOBS Act. The comment period expires February 3, 2014. See Regulatory Notice 13-34.

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 (Member Application). The revised proposal includes changes in response to comments on the prior proposal set forth in Regulatory Notice 10-01. The proposal also includes … 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 produces the FEA to identify regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics updated or added since … 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 the meeting will be sent to regulated entities and published on the MSRB's website following the meeting.   Best Execution The Board will discuss public … 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 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) →

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 matter covered by the examinations. Based on this review process, FINRA has revised the Supervisory Analyst (Series 16) examination program. To find our more information … 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 how these new privileges will impact super account administrators, account administrators and users of 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) 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 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 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) →

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 Designated Principal on their records is accurate. One page of the document will be the Designation of Principal form, which is required to be edited … 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 (Member Application). The revised proposal includes changes in response to comments on the prior proposal set forth in Regulatory Notice 10-01. The proposal also includes … 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 foundation, theory and practical application of securities laws and regulation. The program draws on the expertise of Wharton faculty, senior regulators and industry practitioners and … 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 Clinton and Governor Jeb Bush, join us to explore the role of financial services in providing the capital to fuel the U.S. economy and enhance … 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 vacancies on the FINRA District Committees and distribute ballots to the firms eligible to vote in these elections. Firms that are members of FINRA as … 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 elect a New York Region member of the Small Firm Advisory Board (SFAB). FINRA small firm members in the New York Region as of the … 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 and approved by the FINOP within 17 business days after the end of each month.

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 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) →

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 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 Office staff. For more information including discussion topics, see the individual program descriptions below. December 9, 2013 9:30 a.m. – 11:30 a.m. District Compliance Meeting   … 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 the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2014. FINRA-registered firms will also be subject … 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 and approved by the FINOP within 17 business days after the end of each month.

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 7 a.m. until 6 p.m., ET.  Approvals will be effective 1/2/2014.

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activity Review (NASD Rule 3050) →

FINRA 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 →

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 forms to credit ratings by nationally recognized statistical rating organizations (NRSROs). The changes were required by the Dodd-Frank Wall Street Reform and Consumer Protection Act … 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 daily account in conjunction with year-end renewal processing. Refund requests are made from this account.

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 Accounts.  Refund requests should be made from this account. Final Renewal Statements and reports are available for viewing and printing.

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 firms; (2) add questions relating to space sharing arrangements and the location of books and records that are currently only in Section 6 and make … 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 intensive instruction, discussion and case studies. The program is comprised of two weeklong residential courses at the Wharton campus in Philadelphia. Week I – August … 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 to FINRA by December 13, 2013, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January … 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 municipal securities activities to participate in a minimum of one hour of Firm Element continuing education on municipal securities topics annually.  The MSRB has completed … 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 they serve, in the United States and abroad, have a global outlook yet must consider the local regulations and issues when conducting business. From the … 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 Group's (TMPG) recommendation regarding the margining in forward-settling agency MBS trading. Speakers and participants will: Troubleshoot implementation issues Discuss the next steps for margining on … 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 Exchange Commission on Friday said they are reviewing whether it would be appropriate and consistent with the Dodd-Frank Wall Street Reform and Consumer Protection Act … 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 since the last comprehensive revision of the ADF rules, and to conform the ADF trade reporting rules, to the extent practicable, to current FINRA rules … 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 this free WebEx and conference call, FINRA staff: discuss in detail the major changes and enhancements to ORF; review factors that firms will need to … 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 Voice Recording and Recordkeeping Requirements including mobile recording, searchability, and privacy concerns. Trade Reconstruction and Recordkeeping, including, streaming quotes retention, execution information and rules for … 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 $3.7 trillion municipal securities market, will discuss development of new regulations for professionals that provide financial advice to state and local governments, among other topics. … 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 and provide practical guidance for implementing effective compliance programs to address money laundering and other financial crimes. Anti-money laundering compliance is an integral part of a … 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 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 … 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 crowdfunding provisions of the JOBS Act. The comment period expires February 3, 2014. See Regulatory Notice 13-34.

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 crowdfunding provisions of the JOBS Act. The comment period expires February 3, 2014. See Regulatory Notice 13-34

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 issues with firms that trade in the options markets. The conference includes a panel of legal representatives from the options industry, including senior representatives from … Continue reading FINRA offers Options Regulation Conference →