Memorial Day – Market Holiday
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2015 FINRA Annual Conference
Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United StatesFINRA'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 … Continue reading 2015 FINRA Annual Conference
FINRA Small Firm Conference Registration – California
Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CARegistration 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 … Continue reading FINRA Small Firm Conference Registration – California
Government Finance Officers Association: 109th Annual Conference
GFOA’s conference program will feature a broad range of sessions covering all aspects of state and local government finance, with something for everyone! Speakers will include leading public-sector practitioners; experts … Continue reading Government Finance Officers Association: 109th Annual Conference
Effective Date for Amendments to TRACE rules
The SEC approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules and dissemination protocols to provide for dissemination of transactions in an additional group of asset-backed securities and … Continue reading Effective Date for Amendments to TRACE rules
SEC Request for Comment on FINRA 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 … Continue reading SEC Request for Comment on FINRA Rules
SEC Request for Comment on Proposed NMS Plan Amendments
The SEC requests comment on proposals by the exchanges and FINRA to amend the Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded … Continue reading SEC Request for Comment on Proposed NMS Plan Amendments
FINRA Boot Camp: Supervision and AML Compliance
Half-day compliance boot camps are local educational programs that focus on basic regulatory requirements and compliance responsibilities. Through a combination of classroom training and case studies, compliance professionals who are … Continue reading FINRA Boot Camp: Supervision and AML Compliance
2015 Risk Control Assessment (RCA) Survey
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 … Continue reading 2015 Risk Control Assessment (RCA) Survey
2015 Foundations of Web CRD/IARD Training
M & T Bank Learning & Resource Center One Fountain Plaza, First floor, Buffalo, NY, United StatesThe 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 … Continue reading 2015 Foundations of Web CRD/IARD Training
FINRA Board of Governors Election: Petitions for Candidacy Due
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 … Continue reading FINRA Board of Governors Election: Petitions for Candidacy Due
FINRA Boot Camp: Suitability & Managing Conflicts
Atlanta District Office One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, 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 … Continue reading FINRA Boot Camp: Suitability & Managing Conflicts
$195.00
2015 Foundations of Web CRD/IARD Training
M & T Bank Learning & Resource Center One Fountain Plaza, First floor, Buffalo, NY, United StatesThe 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 … Continue reading 2015 Foundations of Web CRD/IARD Training
MSRB Webinar: The Municipal Advisor Qualification Exam (Series 50)
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 … Continue reading MSRB Webinar: The Municipal Advisor Qualification Exam (Series 50)
District 8 Chicago – District Compliance Event
The Westin Lombard Yorktown Center Lilac Meeting Room 70 Yorktown Shopping Center, Lombard, IL, United StatesDesigned for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District … Continue reading District 8 Chicago – District Compliance Event
Comment Period Ends: SEC Request for Public Feedback to Inform Policy for Exchange-Traded Products
U.S. securities regulators are asking the public to weigh in on how new and novel exchange-traded products should be listed, marketed and traded, as part of an effort to potentially … Continue reading Comment Period Ends: SEC Request for Public Feedback to Inform Policy for Exchange-Traded Products
2015 SIFMA FMS Regional Conference
Hyall Magnificent Mile Chicago, IL, United StatesJoin 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 … Continue reading 2015 SIFMA FMS Regional Conference
$595.00
Volcker Implementation Webinar: Countdown to Compliance
Join SIFMA to hear about the industry efforts to roll out Volcker Rule compliance programs as the industry approaches the July 21, 2015 compliance date for the Volcker Rule. The … Continue reading Volcker Implementation Webinar: Countdown to Compliance
$99.00
FINRA Comment Period Ends on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Summary: On March 25, 2015, the Securities and Exchange Commission (SEC) proposed amendments to Rule 15b9-1 under the Securities Exchange Act of 1934 (SEA or Exchange Act), which currently provides … Continue reading FINRA Comment Period Ends on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
FINRA Boot Camp: Supervision, and Supervision of Complex Products
Hotel Nikko San Francisco 222 Mason Road, Golder Gate Room, San Francisco,, CA, United 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 … Continue reading FINRA Boot Camp: Supervision, and Supervision of Complex Products
$195.00
FINRA Boot Camp: Cybersecurity and Supervision
FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United 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 … Continue reading FINRA Boot Camp: Cybersecurity and Supervision
$195.00
FINRA 2015 Risk Control Assessment Due Date
The 2015 Risk Control Assessment (RCA) which was issued on June 22. FINRA has requested that the survey be completed by Friday, July 17, 2015.
FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
Omni Los Angeles Hotel at California Plaza 251 South Olive Street, Los Angeles, CA, United 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 … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
$195.00
Effective Date of consolidated FINRA Rule 3110(e)
The SEC approved FINRA’s proposed rule change to adopt NASD Rule 3010(e) (Qualifications Investigated) relating to background checks on registration applicants as FINRA Rule 3110(e). FINRA Rule 3110(e) becomes effective … Continue reading Effective Date of consolidated FINRA Rule 3110(e)
Early Close Time @ 1:00pm for Holiday
Early close time Day before Independence Day Holiday.
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
FINRA is soliciting comment on proposed amendments to the FINRA rules governing communications with the public. The proposed amendments would revise the filing requirements in FINRA Rule 2210 (Communications with … Continue reading FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Independence Day Holiday
Closed for Independence Day Holiday
FINRA Boot Camp: Supervision and Branch Office Inspections
Westin Galleria 5060 West Alabama, Houston, TX, 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 … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections
$195.00
FINRA Institute at Wharton CRCP Program Week I
Only a few weeks remain for you to enroll in the initial course of the FINRA Institute at Wharton Certified Regulatory and Compliance ProfessionalTM (CRCPTM) program. Week I: Foundation takes … Continue reading FINRA Institute at Wharton CRCP Program Week I
Free
Comment Period Ends for MSRB Requests on Alternative Standard of Independence for Investor Representative on its Board
The Municipal Securities Rulemaking Board (MSRB) is requesting comment on a proposal to modify the application of the standard of independence for the one public member of its Board of Directors … Continue reading Comment Period Ends for MSRB Requests on Alternative Standard of Independence for Investor Representative on its Board
SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
SEC Washington D.C. headquarters 100 F Street N. E., Washington D.C., DC, United StatesWASHINGTON — 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 … Continue reading SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
Military Consumer Protection Day 2015
Securities and Exchange Commission Chair Mary Jo White is leading a multi-agency event to support Military Consumer Protection Day 2015, highlighting how service members can best protect themselves and their … Continue reading Military Consumer Protection Day 2015
FINRA Boot Camp: Supervision and Suitability
The Langham Boston Hotel 250 Franklin Street, Boston, MA, 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 … Continue reading FINRA Boot Camp: Supervision and Suitability
$195.00
FINRA Boot Camp: Supervision and Branch Office Inspections
FINRA Chicago District Office 55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, United 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 … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections
$195.00
Outside Brokerage Account Review (NASD Rule 3050)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month.
Net Capital Computation (Month ending 06/30/2015)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 06/30/2015)
Comment Period Ends: Concept Proposal to Restructure Qualification Examination Program
The comment period ends July 27, 2015 on FINRAs concept proposal to restructure the registered representative-level qualification examination program into a format whereby all potential representative-level registrants would take a general … Continue reading Comment Period Ends: Concept Proposal to Restructure Qualification Examination Program
Comment Period Ends: Proposed Rule Change to Amend FINRA Rule Series Regarding Temporary & Permanent Cease and Desist Orders
The SEC requested comments on a proposal to amend FINRA Rule Series 9100, 9200, 9300, 9550 and 9800 to (1) modify the evidentiary standard that must be met to impose a temporary cease and desist order; (2) adopt a new expedited proceeding for repeated failures to comply with temporary or permanent cease and desist orders; (3) ease administrative burdens in temporary cease and desist proceedings; (4) harmonize the provisions governing how documents are served in temporary cease and desist proceedings and expedited proceedings; (5) clarify the process for issuing permanent cease and desist orders; and (6) make conforming changes throughout FINRA's Code of Procedure.
MSRB and Municipal Forum of New York Education and Outreach Seminar
Marriot New York Downtown 85 West Street, New York City, TX, United StatesThe 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 … Continue reading MSRB and Municipal Forum of New York Education and Outreach Seminar
FINRA Boot Camp: Suitability and Managing Conflicts of Interest
Charlotte Convention Center 501 S. College Street, Charlotte, NC, United 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 … Continue reading FINRA Boot Camp: Suitability and Managing Conflicts of Interest
$195.00
Ballots Due: FINRA Board of Governors Election
Ballots for FINRA's election to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors must be submitted prior to the Annual Meeting scheduled for July 30, 2015.
Comment Period Ends: Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative
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.
Webinar: Seven Safety Measures When Working with Senior Investors
As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.
This webinar will discuss the unique needs of senior investors, steps your firm should take when working with this growing demographic, and the serious implications of FINRA and the SEC’s recent influx of disciplinary actions and investor alerts. Please join the discussion July 30 at 1pm.
Continuing Education: Seven Safety Measures When Working with Senior Investors
As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.
Notice of Annual Meeting of FINRA Firms
FINRA Board 1735 K Street NW, Washington DC, DC, United StatesFINRA 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 … Continue reading Notice of Annual Meeting of FINRA Firms
Deadline for 2015 FINRA Risk Control Assessment Extended
FINRA has extended the deadline to complete the voluntary 2015 Risk Control Assessment (RCA) survey to July 31, 2015.
Comment Period Ends on Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)
The SEC requested public comment on a proposal to amend FINRA Rule 2210 (Communications with the Public) to require a readily apparent reference and hyperlink to BrokerCheck® on: (1) the initial webpage that the member intends to be viewed by retail investors; and (2) any other webpage that includes a professional profile of one or more registered persons who conduct business with retail investors. These requirements would not apply to a member that does not provide products or services to retail investors, or to a directory or list of registered persons limited to names and contact information.
Comment Period Ends: Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
The SEC requested comments on a proposal to amend NASD Rule 1032(f) (Limited Representative-Equity Trader) to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57). In addition, the proposal amends NASD Rule 1022(a) (General Securities Principal) to establish a Securities Trader Principal registration category. The proposal also makes technical conforming changes to the Form U4 (Uniform Application for Securities Industry Registration or Transfer).
FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
Hilton Del Mar 15575 Jimmy Durante Blvd., Del Mar, CA, United 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 … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
$195.00
FINRA Boot Camp: Supervision and Managing Conflicts of Interest
FINRA New Jersey District Office 581 Main Street - 7th Floor, Woodbridge, NJ, United 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 … Continue reading FINRA Boot Camp: Supervision and Managing Conflicts of Interest
$195.00
Outside Brokerage Account Review (NASD Rule 3050)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month.
Comment Period Ends: FINRA Request for Revised Proposal to Adopt FINRA Rule Regarding Discretionary Accounts and Transactions
FINRA has requested comments on a revised proposal to adopt the NASD and Incorporated NYSE rules regarding discretionary accounts and transactions as FINRA Rule 3260 (Discretionary Accounts and Transactions by … Continue reading Comment Period Ends: FINRA Request for Revised Proposal to Adopt FINRA Rule Regarding Discretionary Accounts and Transactions
Effective Date of FINRA Rule 2040 – Payment to Unregistered Persons
FINRA Rule 2040 ("Rule") governs the payment of transaction-based compensation by member firms to unregistered persons. The new amendment to the Rule is effective August 24, 2015. The amended It … Continue reading Effective Date of FINRA Rule 2040 – Payment to Unregistered Persons
Effective Date of FINRA Rule 0190
FINRA Notice to Members 15-07 noted that the effective date of Rule 0190 is August 24, 2015. Rule 0190 is based largely on NASD IM-2420-1(a) (Transactions Between Members and Non-Members; … Continue reading Effective Date of FINRA Rule 0190
Effective Date of amended FINRA Rule 8311
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 … Continue reading Effective Date of amended FINRA Rule 8311
Comment Period Ends: Reduction of Delay Period for Historic TRACE Data
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 … Continue reading Comment Period Ends: Reduction of Delay Period for Historic TRACE Data
FINRA Boot Camp: Supervision and Branch Office Inspections
Renaissance St. Louis Grand Hotel 800 Washington Avenue, 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 … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections
$195.00
Outside Business Activity Review (NASD Rule 3050)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (NASD Rule 3050)
Early Close Time @ 3:00 p.m.
www.finra.org/AboutFINRA/HolidaySchedule/
Comment Period Ends: FINRA Rule 3210 replacing NASD 3050
The SEC requests comment on a proposal to adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) into the Consolidated FINRA Rulebook and to delete NASD Rule 3050, … Continue reading Comment Period Ends: FINRA Rule 3210 replacing NASD 3050
Labor Day Holiday
www.finra.org/AboutFINRA/HolidaySchedule/
Comment Period Ends: Academic TRACE Data product
FINRA is soliciting comment on a proposal to create a new Academic TRACE Data product that would be available to institutions of higher education. FINRA and the Municipal Securities Rulemaking … Continue reading Comment Period Ends: Academic TRACE Data product
FINRA CRD Available to Post-Date Forms BDW & ADV-W
FINRA Member Firms may begin to submit post-dated Forms BDW & ADV-W on FINRA CRD
NSCP Offers Free Webinar: Managing Investment Compliance
On the surface, the automated compliance library can appear to be smooth sailing. But when you look below the surface, do you really know what lies beneath? Uncontrolled library growth, … Continue reading NSCP Offers Free Webinar: Managing Investment Compliance
2015 Foundations of Web CRD/IARD Training
FINRA 9509 Key West Avenue, Rockville, MD, United StatesThe 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 … Continue reading 2015 Foundations of Web CRD/IARD Training
SIFMA: T + 2 Symposium
SIFMA Conference Center New York City, NY, United StatesStephen Luparello, SEC Director of Trading and Markets, will deliver the keynote address at the T+2 Symposium: The Road to a Shortened Settlement Cycle, in NYC on Sept. 17. Senior … Continue reading SIFMA: T + 2 Symposium
FINRA Half-Day Compliance Boot Camp: Boca Raton, Florida
FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United StatesFINRA Half-day Compliance Boot Camp focuses on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
Outside Brokerage Account Review (NASD Rule 3050)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month.
FINRA Rule Start Date: Series 50 Exam Fee
Rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to establish an administration and delivery fee for the new Municipal Advisor Representative Examination (“Series 50 examination”). … Continue reading FINRA Rule Start Date: Series 50 Exam Fee
FINRA Rule Start Date: NASD Rule 3040 now FINRA Rule 3280
Rule change to adopt NASD Rule 3040 (Private Securities Transactions of an Associated Person) as FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the consolidated FINRA rulebook … Continue reading FINRA Rule Start Date: NASD Rule 3040 now FINRA Rule 3280
Deadline to register for NSCP Annual Conference
Gaylord National Harbor Resort & Convention Center 201 Waterfront Street, National Harbor, MD, United StatesSeptember 22, 2015 is the last day to register for the National Society of Compliance Professional's Annual National Conference. Click here to register and get more information.
2015 OFAC (Office of Foreign Assets Control) Fall Symposium
Walter E. Washington Event Center 801 Mount Vernon Place NW, Washington, D.C., United StatesThe 2015 OFAC Fall Symposium will be held in Washington, DC on September 22, 2015. The symposium will provide a comprehensive review of current U.S. economic sanctions. It will include presentations on OFAC regulations, as well as targeted reviews of sanctions concerns for new and updated OFAC-administered programs.
FINRA Half-Day Compliance Boot Camp: Seattle
Union Square Conference Center Suite 5121/5122 601 Union Street, 51st Floor , Seattle, WA, United StatesFINRA Half-day Compliance Boot Camp focuses on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
FINRA Half-Day Compliance Boot Camp: New York
FINRA New York District Office Brookfield Place 200 Liberty Street, New York, United 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 … Continue reading FINRA Half-Day Compliance Boot Camp: New York
Outside Business Activity Review (NASD Rule 3050)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (NASD Rule 3050)
Initial Effective Date of FINRA Rule 2241 ( Research Analysts and Research Reports)
FINRA Rule 2241 ( Research Analysts and Research Reports) becomes effective as to the following provisions:
FINRA Revises the Series 4 Examination Program
FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject … Continue reading FINRA Revises the Series 4 Examination Program
Volcker Rule Seminar
SIFMA Conference Center New York City, NY, United StatesSIFMA’s Volcker Rule Seminar, on September 30th at the SIFMA Conference Center in New York City, will bring together experts from the industry, government and law firms to discuss the current compliance and enforcement issues post the July 21st compliance date.
Effective Date of Web-based Delivery of the Regulatory Element of CE
As of October 1, 2015, amendments to FINRA rules to provide a Web-based delivery method for completing the Regulatory Element of the Continuing Education (CE) requirements are effective. For more information, … Continue reading Effective Date of Web-based Delivery of the Regulatory Element of CE
MSRB to Raise Annual and Initial Fees
The MSRB’s current fee for initial registration under Rule A-12 is $100, an amount that has not been changed since its inception in 1975. During its fee review, the MSRB Board concluded that an increase in the initial registration fee from $100 to $1,000 was reasonable to help defray a significant portion of the administrative and operational costs associated with processing an initial registration.
Effective Date of MSRB Fee Increase
The Municipal Securities Rulemaking Board (MSRB) announced in Regulatory Notice 2015-13 that it will be raising the fees assessed to its registrants (brokers, dealers, and municipal securities dealers (collectively "dealers") and municipal advisors (collectively "regulated entities"), effective October 1, 2015.
2016 FINRA Annual Conference: Special Discounted Registration Rate
Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United StatesInterested in getting a discounted registration rate on the 2016 FINRA Annual Conference May 23-25, 2016? FINRA is offering discounts for those who meet requirements before Oct. 1. The special … Continue reading 2016 FINRA Annual Conference: Special Discounted Registration Rate
2015 SILA National Education Conference
Gaylord Opryland Resort & Convention Center 2800 Opryland Drive, Nashville, United StatesSILA National Education Conference, walk with us and get inspired by innovative ideas of how to move insurance licensing and securities registration issues
FINRA Advertising Regulation Conference
Renaissance Washington D.C. Hotel 999 Ninth Street, NW, Washington, D.C., DC, United StatesAttend this event to hear about proposed changes and new developments involving the communications rules. Also, gain practical guidance on the advertising standards from industry and FINRA experts. Discounted registration … Continue reading FINRA Advertising Regulation Conference
Women in Asset Management
SIFMA Conference Center New York City, NY, United StatesSpeakers will share their experience and perspectives on how women can best position themselves to identify opportunities emerging from changes in regulation and technology, and insights on how to carve … Continue reading Women in Asset Management
SIFMA’s Senior Investors Forum
SIFMA Conference Center New York City, NY, United StatesSIFMA’s Senior Investors Forum: Serving the Needs of Our Aging Investors brings together advisors, regulators, compliance officers, attorneys and academic experts to discuss the innovative practices in place to ensure … Continue reading SIFMA’s Senior Investors Forum
SIFMA Global Tax Reporting Symposium
SIFMA Conference Center New York City, NY, United StatesThe SIFMA Global Tax Reporting Symposium, providing in-depth perspective on financial services reporting and withholding in today’s global marketplace, will bring together industry and government experts to discuss three evolving … Continue reading SIFMA Global Tax Reporting Symposium
Outside Brokerage Account Review (NASD Rule 3050)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month.
National Cybersecurity Symposium
On October 21 and 22, 2015, the FBI, U.S. Secret Service (USSS) and the Department of the Treasury will host open houses at locations across the country to enhance collaboration between the financial services sector and federal law enforcement entities on cybersecurity. Session attendees will gain further insight into the capabilities of the FBI and USSS, a better understanding of cybersecurity threats and information about how to incorporate collaboration with law enforcement into internal incident response plans.
Comment Period Ends: Proposal to Amend FINRA Rule 8312
The SEC has requests comment on a proposal to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the 15-day waiting period for the release of information reported on Form U5 (Uniform Termination Notice for Securities Industry Registration) through BrokerCheck. The comment period expires October 22, 2015.
Fixed Income Report Card Demonstrations
FINRA is hosting a WebEx presentation discussing new and updated fixed income Report Cards.
Net Capital Computation (Month ending 09/30/2015)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 09/30/2015)
FINRA CRD available to Post-Date U5 & BR Closings
FINRA Member Firms may begin to submit post-dated Form U5s and Form BR closing/Withdrawal forms on FINRA CRD, which must be dated 12/31/2015.
Comment Period Ends: Proposal to Amend FINRA Rule 0150
The SEC requested comments on a proposal to amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) so that FINRA Rule 2121 (Fair Prices and Commissions) and its Supplementary Material .01 and .02, which govern mark-ups and commissions, will apply to transactions in, and business activities relating to, exempted securities that are government securities. The comment period expires October 27, 2015.
Outside Business Activity Review (NASD Rule 3050)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (NASD Rule 3050)
NSCP: National Society of Compliance Professionals
Gaylord National Harbor Resort & Convention Center 201 Waterfront Street, National Harbor, MD, United StatesYou are invited to attend the NSCP's annual National Conference for the most comprehensive educational offering within the financial services industry covering over 80 topics, encompassing broker-dealer, investment adviser, investment … Continue reading NSCP: National Society of Compliance Professionals
Amendments to Trace Reports Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports – Effective Date
Amendments to the TRACE reporting rules were approved by the SEC to the to permit FINRA to implement a new contra-party type for use by firms in identifying transactions with … Continue reading Amendments to Trace Reports Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports – Effective Date
Post-Dated Forms BDW and ADV-W
Firms may begin to submit post dated Firms BDW and ADV-W, which must be dated 12/31/2015.
Effective Date – New FINRA Rules for Cease & Desist Orders
The SEC approved amendments to FINRA rules for Cease & Desist Orders. The new rules and amendments lower the evidentiary standard to impose a temporary cease and desist order (TCDO); created a new expedited proceeding for repeated failures to comply with a TCDO or a permanent cease and desist order (PCDO); harmonized the provisions governing how documents are served in temporary cease and desist and expedited proceedings; clarified FINRA’s authority to impose a PCDO; and ease FINRA’s administrative burden in temporary cease and desist proceedings. The amendments become effective on November 2, 2015.