SIFMA’s CAT Fall Seminar
Edward Jones 8333 S. River Parkway, Tempe, AZ, United StatesMark Your Calendar for the CAT FAll Seminar, taking place October 4-5 in Tempe, Arizona!
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SIFMA’s Next Gen Financial Advisors Seminar
St. Louis, MO, United StatesSIFMA’s Next Generation of Financial Advisors Seminar provides an opportunity for industry professionals to gather and discuss industry solutions to recruiting and training the next generation of financial advisors. Speakers … Continue reading SIFMA’s Next Gen Financial Advisors Seminar
SIFMA Foundation Tribute Dinner
Cipriani 25 Broadway, New York City, NY, United StatesSIFMA and the SIFMA Foundation invite you to join us on October 5th for a special evening to celebrate champions of youth financial education and raise awareness for this important cause. … Continue reading SIFMA Foundation Tribute Dinner
SIFMA’s 13th Annual Global Corporate Actions Forum
Marriott Boston Copley Place Boston, MA, United StatesJoin SIFMA's Corporate Actions Section for the 13th annual Global Corporate Actions Forum in Boston. Connect with fellow industry professionals and hear from leading subject matter experts as they examine … Continue reading SIFMA’s 13th Annual Global Corporate Actions Forum
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 Compliance Boot Camp – Washington D.C.
FINRA Washington, D.C. 1735 K Street, NW, Washington, D.C.FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Washington D.C.
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2016)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2016)
2016 NSCP National Conference
Omni Shoreham 2500 Calvert Street NW, Washing, D.C., DC, United States2016 NSCP National Conference The NSCP National Conference offers unique educational opportunities to further the professional growth of compliance professionals: Broker-Dealers :: Investment Advisers :: Investment Companies :: Municipal Advisors … Continue reading 2016 NSCP National Conference
AICPA & SIFMA 2016 National Conference on the Securities Industry
New York Law School New York, NY, United StatesThe National Conference on the Securities Industry , hosted by the American Institute of CPAs (AICPA) and SIFMA's Financial Management Society, provides essential updates on evolving securities regulations and compliance … Continue reading AICPA & SIFMA 2016 National Conference on the Securities Industry
FINRA/SIFMA Senior Investor Conference
Renaissance Washington D.C. Hotel 999 Ninth Street, NW, Washington, D.C., DC, United StatesOver the next 10-plus years, 10,000 Americans will turn 65 every day, with these investors accounting for more than 75 percent of financial assets in the United States. Seniors’ significant … Continue reading FINRA/SIFMA Senior Investor Conference
FINRA Compliance Boot Camp – Jericho, New York
FINRA District Office Jericho, N. Y. Two Jericho PlazaFINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Jericho, New York
SIFMA Internal Auditors Society (IAS) Annual Conference
New Orleans Marriott 555 Canal Street, New Orleans, LA, United StatesThe SIFMA Internal Auditors Society (IAS) Annual Conference will examine how Securities Industry audit, risk management and compliance leaders are responding to global challenges including geopolitical, economic, technology, cyber threats … Continue reading SIFMA Internal Auditors Society (IAS) Annual Conference
Quarterly FOCUS and SSOI Filing (Quarter ending 09/30/2016)
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 … Continue reading Quarterly FOCUS and SSOI Filing (Quarter ending 09/30/2016)
Quarterly Form Custody Filing Due Q3 2016
Firms are required to file Form Custody pursuant to SEA Rule 17a-5(a)(5).
SIFMA Social Media Conference
SIFMA Conference Center New York City, NY, United StatesSupplemental Inventory Schedule (report period ended 09/31/2016)
The Supplemental Inventory Schedule (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 less than $100,000; or (2) inventory positions consisting only of money market mutual funds.6 A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2016)
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. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2016)
MSRB Rule G-37 Reporting Requirement
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 … Continue reading MSRB Rule G-37 Reporting Requirement
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)
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 … Continue reading MSRB Rule A•14 (Annual Fee)
SIFMA’s Listed Options Symposium
SIFMA Conference Center New York City, NY, United StatesSIFMA’s Listed Options Symposium is a New York City event that brings together industry leaders representing retail, market makers and institutional participants, as well as exchange and regulatory experts. Join … Continue reading SIFMA’s Listed Options Symposium
2016 FINRA Small Firm Conference
The Camby Hotel 2401 East Camelback Road, Phoenix, AZ, United StatesThe 2016 FINRA Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a … Continue reading 2016 FINRA Small Firm Conference
Effective Date – FINRA Rule 2273
FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) becomes effective November 11, 2016. The rule establishes an obligation to deliver an educational communication in connection with … Continue reading Effective Date – FINRA Rule 2273
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
Net Capital Computation (Month ending 10/31/2016)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 10/31/2016)
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Supplemental Inventory Schedule (report period ended 10/31/2016)
The Supplemental Inventory Schedule (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 less than $100,000; or (2) inventory positions consisting only of money market mutual funds.6 A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
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
Monthly & Fifth FOCUS IIA Filings (Month ending 11/30/2016)
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 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 11/30/2016)
Supplemental Inventory Schedule (report period ended 11/30)
The Supplemental Inventory Schedule (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 less than $100,000; or (2) inventory positions consisting only of money market mutual funds.6 A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
Quarterly GASB Accounting Support Fee
FINRA assesses an annual support fee to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB”). The fee is assessed on a quarterly basis and is based … Continue reading Quarterly GASB Accounting Support Fee
FINRA Final Renewal Statements Available
Retrieve your Firm’s Final Renewal Statement Beginning January 3, 2017, firms can review Final Statements by logging onto E-Bill. Firms can also retrieve their renewal reports through Web CRD/IARD. You … Continue reading FINRA Final Renewal Statements Available
Texas Certificates of Registration Available
State Securities Board personnel review all applications for the registration of dealers, agents, investment advisers, and investment adviser representatives to ensure that individuals and firms dealing with Texas investors meet … Continue reading Texas Certificates of Registration Available
FINRA Entitlement User Account Certification Process
FINRA's Annual Entitlement User Accounts Certification Process begins on January 9, 2017, and ends February 9, 2017. During this period, Super Account Administrators (SAAs) for firms with more than one … Continue reading FINRA Entitlement User Account Certification Process
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2016)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2016)
FINRA Final Renewal Statement Due
Reconcile or Pay your Final Statement Report in writing to FINRA any discrepancies you find on your Final Statement. FINRA must receive this by January 20, 2017. This is also … Continue reading FINRA Final Renewal Statement Due
MSRB Update of Primary Contact Information (MSRB G-40)
MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 … Continue reading MSRB Update of Primary Contact Information (MSRB G-40)
Quarterly FOCUS and SSOI Filing (Quarter ending 12/31/2016)
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 … Continue reading Quarterly FOCUS and SSOI Filing (Quarter ending 12/31/2016)
Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2016)
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2016)
Quarterly Form Custody Filing Due Q4 2016
Firms are required to file Form Custody pursuant to SEA Rule 17a-5(a)(5).
FINRA Contact System Due Date
Annual Verification Due As a reminder, Rule 4517 requires firms to complete an annual verification of their FCS contact information within the first 17 business days of each calendar year. … Continue reading FINRA Contact System Due Date
Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2016)
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. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2016)
MSRB Rule G-37 Quarterly Reporting Requirement
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 … Continue reading MSRB Rule G-37 Quarterly Reporting Requirement
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/2016)
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. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/2016)
Due: FINRA’s Annual Entitlement Account Certification Process
FINRA's Annual Entitlement User Accounts Certification Process begins on January 9, 2017, and ends February 9, 2017. During this period, Super Account Administrators (SAAs) for firms with more than one … Continue reading Due: FINRA’s Annual Entitlement Account Certification Process
Net Capital Computation (Month ending 01/31/2017)
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 01/31/2017)
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 1/31/2017)
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 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 1/31/2017)
Annual Audit Filing Due Date (Period Ending 12/31/2017)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 12/31/2017)
SIPC Assessments (Year ending December 31, 2016 SIPC 7)
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 7 General Assessment … Continue reading SIPC Assessments (Year ending December 31, 2016 SIPC 7)
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
Net Capital Computation (Month ending 02/28/2017)
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 02/28/2017)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 2/28/2017)
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 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 2/28/2017)
FINRA Diversity Summit
FINRA New York District Office Brookfield Place 200 Liberty Street, New York, United StatesFINRA’s Diversity Summit provides a forum for business leaders, diversity practitioners and human resource professionals in the financial services industry to explore a variety of corporate practices, strategies and outreach … Continue reading FINRA Diversity Summit
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Quarterly GASB Accounting Support Fee
FINRA assesses an annual support fee to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB”). The fee is assessed on a quarterly basis and is based … Continue reading Quarterly GASB Accounting Support Fee
Personnel Assessment and Gross Income Assessment
The Personnel Assessment and Gross Income Assessment (“GIA”) is designed to stabilize revenues used to support FINRA’s regulatory activities. The GIA is based on a member firm’s gross revenues and … Continue reading Personnel Assessment and Gross Income Assessment
FINRA Updates the Transparency Services Participant Agreement
FINRA member firms that have an obligation to report over-the-counter secondary market transactions in eligible equity and fixed income securities must submit their transaction reports to the appropriate FINRA facility … Continue reading FINRA Updates the Transparency Services Participant Agreement
Effective Date of FINRA Rule 3210
The SEC has approved FINRA’s proposed rule change to adopt a new, consolidated rule governing accounts opened or established by associated persons at firms other than the firm at which … Continue reading Effective Date of FINRA Rule 3210
Annual Audit Filing Due Date (Period Ending January 31, 2017)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending January 31, 2017)
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
The Securities and Exchange Commission (SEC) approved FINRA’s rule set for firms that meet the definition of “capital acquisition broker” (CAB) and that elect to be governed under this rule … Continue reading SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
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 Rule 4210 Implementation
SIFMA Conference Center New York City, NY, United StatesThe December 2017 compliance deadline for FINRA’s margin collection requirements for TBAs and other Agency MBS is fast approaching. Join SIFMA for a Securitization Spotlight Session on April 19 to review … Continue reading FINRA Rule 4210 Implementation
Canada-U.S. Securities Summit
SIFMA Conference Center New York City, NY, United StatesExamine Key Issues Affecting the North American Capital Markets Join co-hosts, SIFMA and the Investment Industry Association of Canada (IIAC), at the 5th annual Canada-U.S. Securities Summit on April 20 … Continue reading Canada-U.S. Securities Summit
Global Finance Forum
Ritz-Carlton West-End, Washington, D.C., United StatesGlobal Finance Forum - Capital Markets, Growth, and the Economy of tomorrow In conjunction with IMF-World Bank spring meetings, this open-press capital markets forum will feature armchair conversations with leading policymakers … Continue reading Global Finance Forum
SIFMA Ops & Tech Town Hall Webinar
Join the Operations & Technology Society for their first town hall webinar of 2017! All members of CAS, CAT, CMS and SOS are welcome.
Special Election to Fill FINRA Large Firm Governor Vacancy
FINRA will conduct a special meeting of large member firms on or about Friday, May 19, 2017, to elect one individual to fill a vacant Large Firm Governor seat on … Continue reading Special Election to Fill FINRA Large Firm Governor Vacancy
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 03/31/2017)
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. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 03/31/2017)
Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2017)
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2017)
SIFMA Equity Market Structure Conference
SIFMA Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join equity market … Continue reading SIFMA Equity Market Structure Conference
SIFMA Fixed Income Market Structure Seminar
SIFMA Conference Center New York City, NY, United StatesSIFMA’s Fixed Income Market Structure Seminar brings together market participants and policymakers to discuss the latest regulatory and market developments in the fixed income markets. This half-day discussion will address … Continue reading SIFMA Fixed Income Market Structure Seminar
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)
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 … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)
FINRA to Restructure Continuing Education Requirements and Qualification Exams
Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with … Continue reading FINRA to Restructure Continuing Education Requirements and Qualification Exams
Annual Audit Filing Due Date ( Period Ending 02/28/2017)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date ( Period Ending 02/28/2017)
SIFMA Senior Investor Protection Regional Workshop
On May 2, SIFMA invites you for their second Regional Senior Investor Protection Workshop in Philadelphia, PA. Following the success of their first event last fall, this interactive program provides … Continue reading SIFMA Senior Investor Protection Regional Workshop
FINRA Requests Comments to improve Engagement Programs
FINRA is asking for comments regarding its recently announced new initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As … Continue reading FINRA Requests Comments to improve Engagement Programs
SIFMA’s 44th Annual Operations Conference and Exhibition 2017
Whether your focus in Operations is Leadership Management, Information Technology, Risk Management, Legal and Compliance, or Clearance and Settlement, SIFMA's Operations Conference and Exhibition delivers a comprehensive program tailored to the … Continue reading SIFMA’s 44th Annual Operations Conference and Exhibition 2017
FINRA District 6 Dallas – District Compliance Events
FINRA Dallas District Office 12801 North Central Expressway, Suite 1050, Dallas, TX, 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 FINRA District 6 Dallas – District Compliance Events
2017 FINRA Annual Conference
Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United StatesRegistration is now open for the 2017 FINRA Annual Conference. Join leaders of firms of all sizes, securities attorneys, government officials, FINRA senior leaders and representatives from other securities regulators … Continue reading 2017 FINRA Annual Conference
District 5 New Orleans – District Compliance Events
The Crescent Club 6075 Poplar Ave., Suite 909, Memphis, TN, 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 5 New Orleans – District Compliance Events
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 Registration and Disclosure Boot Camp
FINRA 9509 Key West Avenue, Rockville, MD, United StatesThis class is designed for staff at broker-dealer firms and/or service providers that are new to reporting Disclosure information in Web CRD or those who want to receive refresher training … Continue reading FINRA Registration and Disclosure Boot Camp
Effective Date for Use of Updated FINRA Private Placement Filer Form
The updated Financial Industry Regulatory Authority (“FINRA”) Private Placement Filer Form required by member firms to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities … Continue reading Effective Date for Use of Updated FINRA Private Placement Filer Form
FINRA Updates Private Placement Filer Form
In an attempt to collect more information on private placement activity, the Financial Industry Regulatory Authority (“FINRA”) has updated the private placement filer form that member firms must use to … Continue reading FINRA Updates Private Placement Filer Form
Net Capital Computation (Month ending 04/30/2017)
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 04/30/2017)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 4/30/2017)
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 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 4/30/2017)
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)
FINRA Requests Comments on Rules Impacting Capital Formation
The ability of small and large businesses to raise capital efficiently is critical to job creation and economic growth. Broker-dealers play a vital role in helping businesses raise capital through … Continue reading FINRA Requests Comments on Rules Impacting Capital Formation
FINRA Requests Comment on FINRA Corporate Financing Rule
FINRA seeks comment on proposed amendments to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule. The proposal … Continue reading FINRA Requests Comment on FINRA Corporate Financing Rule
FINRA Requests Comment on Equity and Debt Research Rules
FINRA seeks comment on proposed amendments to FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to create a limited … Continue reading FINRA Requests Comment on Equity and Debt Research Rules
Annual Audit Filing Due Date (Period Ending 03/31/2017)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 03/31/2017)
FINRA District 7 Atlanta – District Compliance Events
Charlotte Convention Center 501 S. College Street, Charlotte, NC, 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 FINRA District 7 Atlanta – District Compliance Events
District Compliance Meeting: Charlotte, NC – District 7 (Atlanta)
Charles Schwab Conference Center 211 Main Street, San Francisco, CA, 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 Compliance Meeting: Charlotte, NC – District 7 (Atlanta)