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.
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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)
2017 FINRA Risk Control Assessment ( RCA)
FINRA's 2017 Risk Control Assessment (RCA) survey has been launched. Each firm's executive representative and designated assistant should have received an email linking to their firm's unique RCA survey. The … Continue reading 2017 FINRA Risk Control Assessment ( RCA)
SIFMA FINTECH Conference
SIFMA Conference Center New York City, NY, United StatesSIFMA's FinTech Conference will bring together innovators and industry leaders to discuss the latest developments in robo advising, robotics, artificial intelligence, machine learning and blockchain experiments – and how these … Continue reading SIFMA FINTECH Conference
SEC Code of Arbitration Comment Period
The SEC requests comment on FINRA's proposal to amend FINRA Rules 12402 and 12403 of the Code of Arbitration Procedure for Customer Disputes and FINRA Rule 13403 of the Code … Continue reading SEC Code of Arbitration Comment Period
FINRA Boot Camp: Chicago, IL – District 8 (Chicago)
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 … Continue reading FINRA Boot Camp: Chicago, IL – District 8 (Chicago)
District Compliance Meeting – District 8 (Madison WI)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA … Continue reading District Compliance Meeting – District 8 (Madison WI)
District Compliance Meeting: Tarrytown, NY – District 9b ( Woodbridge)
FINRA Woodbridge District 9bDesigned for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Tarrytown, NY – District 9b ( Woodbridge)
FINRA Compliance Boot Camp – San Francisco
FINRA San Francisco district office 120 Kearney Street, Suite 2100, San FranciscoFINRA 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 – San Francisco
Phone-In Workshop: TRACE Reporting of Transactions in U.S. Treasury Securities
FINRA's Transparency Services Department is hosting the third and final installment in its TRACE Reporting of Transactions in U.S. Treasury securities phone-in workshop series. During this one, FINRA staff review … Continue reading Phone-In Workshop: TRACE Reporting of Transactions in U.S. Treasury Securities
DOL’s fiduciary rule’s definitions applied as of June 9th
On June 9th , the fiduciary rule's amended definition of fiduciary advice will first apply and the BIC Exemption and Principal Transactions Exemption will become available to fiduciary advisers. At … Continue reading DOL’s fiduciary rule’s definitions applied as of June 9th
SEC Comment Period for FINRA Rule 7730
The SEC requests comment on FINRA's proposal to amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to reduce the delay period applicable to the Historic Corporate Bond Data … Continue reading SEC Comment Period for FINRA Rule 7730
MSRB Webinar: Municipal Advisor Representative Qualification Examination (Series 50 Exam)
During this free webinar, staff of the MSRB and the U.S. Securities and Exchange Commission will review the standards of professional qualification for municipal advisors and discuss the enrollment process … Continue reading MSRB Webinar: Municipal Advisor Representative Qualification Examination (Series 50 Exam)
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 Requests Comment on Potential Enhancements to Certain Engagement Programs
FINRA recently announced a new initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As one of the first steps … Continue reading FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
FINRA Boot Camp: Philadelphia, PA – District 9A ( Philadelphia)
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 … Continue reading FINRA Boot Camp: Philadelphia, PA – District 9A ( Philadelphia)
FINRA Boot Camp: Stamford, CT – District 11 (Boston)
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 … Continue reading FINRA Boot Camp: Stamford, CT – District 11 (Boston)
District Compliance Meeting – Columbus, OH – District 8 (Chicago)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting – Columbus, OH – District 8 (Chicago)
District 7- Boca Raton, Florida – Compliance Boot Camp
FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United StatesJune 20, 2017 9 a.m. – 1:30 p.m. Half-Day Compliance Boot Camp FINRA District Office 5200 Town Center Circle Suite 200 Boca Raton, FL 33486 (561) 443-8000 $195 View More … Continue reading District 7- Boca Raton, Florida – Compliance Boot Camp
FINRA Foundations of Web CRD/IARD Training
The Huntington Investment Company 41 South High Street, Columbus, OH 43287, OH, United StatesThere are three ways to register: online, fax, or mail. Online registration is for credit card transactions only. Dates Fee Location June 21 - 22 (8 a.m. to 5 p.m., … Continue reading FINRA Foundations of Web CRD/IARD Training
FINRA’s RAD Training Offerings
FINRA's Registration and Disclosure (RAD) Training team offers several training solutions designed for those at broker-dealer or joint broker-dealer/investment adviser firms. Training types include: Foundations of Web CRD/IARD Training (next … Continue reading FINRA’s RAD Training Offerings
MSRB Webinar: Municipal Advisor Solicitor Guidance
During this free webinar, Municipal Securities Rulemaking Board (MSRB) staff will discuss the recently published guidance on the application of MSRB rules to solicitor municipal advisors. Under the MSRB's mandate … Continue reading MSRB Webinar: Municipal Advisor Solicitor Guidance
Net Capital Computation (Month ending 05/31/2017)
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 05/31/2017)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 5/31/2017)
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 5/31/2017)
District Compliance Meeting: Rochester NY – District 9b (Woodbridge)
FINRA 9509 Key West Avenue, Rockville, MD, United StatesDesigned for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Rochester NY – District 9b (Woodbridge)
FINRA District Compliance Meeting: New York, NY – District 10 (New York)
Designed for compliance and legal professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more … Continue reading FINRA District Compliance Meeting: New York, NY – District 10 (New York)
Annual Audit Filing Due Date (Period Ending 04/30/2017)
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 04/30/2017)
FINRA Reviews Outside Business Activities and Private Securities Transactions
The review centers on rules governing broker-dealer employees’ business and securities activities carried out away from their firm – activities that are outside the regular course or scope of their … Continue reading FINRA Reviews Outside Business Activities and Private Securities Transactions
Comment Period Ends on Review of Rules on Outside Business Activities and Personal Securities Transactions
The Financial Industry Regulatory Authority (“FINRA”) announced in Regulatory Notice 17-20 that it has identified Rules 3270 and 3280, which govern outside business activities and personal securities transactions for review. The … Continue reading Comment Period Ends on Review of Rules on Outside Business Activities and Personal Securities Transactions
District Compliance Meeting: Louisville, KY – District 8 ( Chicago)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Louisville, KY – District 8 ( Chicago)
Outside Business Activities Review
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activities Review
Review and update Firm Element Continuing Education Plan
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and update Firm Element Continuing Education Plan
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
Monday before Independence Day – 1:00 P.M. early close
FINRA operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a … Continue reading Monday before Independence Day – 1:00 P.M. early close
FINRA Blockchain Symposium
Park Central Hotel 870 Seventh Avenue, 56 Street, New York City, NY, United StatesDistributed Ledger Technology (DLT)—also known as blockchain technology or distributed database technology—has attracted significant interest and funding in the financial services industry in recent years. FINRA's Blockchain Symposium, which takes … Continue reading FINRA Blockchain Symposium
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
FINRA360 Comment Period Deadline
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 FINRA360 Comment Period Deadline
FINRA Rule 5110 Comment Period Deadline
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 Rule 5110 Comment Period Deadline
FINRA Rule 2241 & 2242 Comment Period Deadline
) 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 … Continue reading FINRA Rule 2241 & 2242 Comment Period Deadline
FINRA Extends Comment Period for Capital Financing Notices
In response to requests for an extension, FINRA has extended the comment period for Regulatory Notices 17-14, 17-15 and 17-16 to July 14, 2017. In addition, FINRA updated Attachments A … Continue reading FINRA Extends Comment Period for Capital Financing Notices
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2017)
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 (Q2 2017)
FINRA Institute at Wharton CRCP Program
The Wharton School of the University of Pennsylvania. University of Pennsylvania, Philadelphia, PA, United StatesThe FINRA Institute at Wharton's Certified Regulatory and Compliance ProfessionalTM (CRCPTM) Program provides a comprehensive core of knowledge on securities regulation and the day-to-day application of those rules and regulations. … Continue reading FINRA Institute at Wharton CRCP Program
2017 National Compliance Outreach Program for Broker-Dealers
Charlotte Convention Center 501 S. College Street, Charlotte, NC, United StatesRegistration for the 2017 National Compliance Outreach Programs for Broker-Dealers, which is hosted by FINRA and the SEC, is now open. This program provides a forum for regulators and industry … Continue reading 2017 National Compliance Outreach Program for Broker-Dealers
FINRA Boot Camp: Birmingham AL – District 5 (New Orleans)
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 … Continue reading FINRA Boot Camp: Birmingham AL – District 5 (New Orleans)
Outside Business Activities Review
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activities Review
Entitlement Password Requirements
FINRA has updated its password requirements for users of systems that participate in FINRA's Entitlement Program. No immediate action is required at this time by users as existing passwords will … Continue reading Entitlement Password Requirements
Entitlement Password Requirements
FINRA has updated its password requirements for users of systems that participate in FINRA's Entitlement Program. No immediate action is required at this time by users as existing passwords will … Continue reading Entitlement Password Requirements
SIPC Assessments – SIPC 6 (Semi-Annual Filing)
Members of SIPC are required to pay their assessment on SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to … Continue reading SIPC Assessments – SIPC 6 (Semi-Annual Filing)
Annual Audit Filing Due Date (Period Ending 05/31/2017)
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 05/31/2017)
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2017)
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 … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2017)
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
FINRA Boot Camp: Woodbridge, NJ – District 9b
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 … Continue reading FINRA Boot Camp: Woodbridge, NJ – District 9b
Military Spouses Receive Fellowships
The FINRA Investor Education Foundation has awarded fellowships to 50 military spouses seeking to earn their AFC® (Accredited Financial Counselor®) designation to provide military service members and their families one-on-one … Continue reading Military Spouses Receive Fellowships
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 Pay-to-Play Rules Become Effective
FINRA "pay-to-play" Rules 2030 (Engaging in Distribution and Solicitation Activities with Government Entities) and 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities) were established to regulate the … Continue reading FINRA Pay-to-Play Rules Become Effective
SEC Approves New FINRA Pay-to-Play Rules
The Securities and Exchange Commission (SEC) approved FINRA Rule 2030 (Engaging in Distribution and Solicitation Activities with Government Entities) and 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities) … Continue reading SEC Approves New FINRA Pay-to-Play Rules
FINRA Annual Meeting of Firms
FINRA Washington, D.C. 1735 K Street, NW, Washington, D.C.FINRA will conduct its annual meeting of firms on Tuesday, August 22, 2017, at 10 a.m. Eastern Time in the FINRA Visitors Center, 1735 K Street, NW, in Washington, D.C. … Continue reading FINRA Annual Meeting of Firms
Monthly & Fifth’ FOCUS IIA Filings (Month ending 07/31/2017)
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 07/31/2017)
Net Capital Computation (Month ending 07/31/2017)
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 07/31/2017)
MSRB: International Municipal Lawyer’s Association’s Municipal Finance Webinar
International Municipal Lawyers Association's Municipal Finance Webinar August 23, 2017 1:00 PM - 2:00 PM ET MSRB Assistant General Counsel Saliha Olgun will speak about recent developments in municipal securities … Continue reading MSRB: International Municipal Lawyer’s Association’s Municipal Finance Webinar
District Compliance Meeting
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 … Continue reading District Compliance Meeting
Outside Business Activities Review
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activities Review
FINRA Transparency Services Forms Updates
Effective August 28, 2017, FINRA will make several changes to the TRACE New Issue Form, TRACE Order Form and FINRA Participation Agreement. On that date, the name of the TRACE … Continue reading FINRA Transparency Services Forms Updates
Annual Audit Filing Due Date (Period Ending 06/30/2017)
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 06/30/2017)
FINRA Boot Camp: Milwaukee, WI – District 8 (Chicago)
8 – Chicago August 29, 2017 12 p.m. - 4:30 p.m. The Pfister Hotel 424 E. Wisconsin Ave. Milwaukee, WI 53202 (414) 273-8222 Variable Annuities Effective Practices for Working With … Continue reading FINRA Boot Camp: Milwaukee, WI – District 8 (Chicago)
FINRA Boot Camp: Omaha, NE – District 4 (Kansas City)
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 … Continue reading FINRA Boot Camp: Omaha, NE – District 4 (Kansas City)
FINRA Holiday: Friday before Labor Day ( 3:00 p.m. early close)
FINRA operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a … Continue reading FINRA Holiday: Friday before Labor Day ( 3:00 p.m. early close)
FINRA and SIPC Streamline Reporting Process
The Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA) have announced a services agreement designed to ease reporting burdens and compliance costs for member firms. The … Continue reading FINRA and SIPC Streamline Reporting Process
Compliance Date for T+2 Settlement Cycle for Securities Transactions
The SEC adopted an amendment to shorten the standard settlement cycle for most broker-dealer securities transactions by one business day ("T+2"). Currently, the standard settlement cycle for these transactions is … Continue reading Compliance Date for T+2 Settlement Cycle for Securities Transactions
SEC Adopts T+2 Settlement Cycle for Securities Transactions
The Securities and Exchange Commission ("SEC") has adopted an amendment to shorten the standard settlement cycle for most broker-dealer securities transactions by one business day ("T+2"). Currently, the standard settlement … Continue reading SEC Adopts T+2 Settlement Cycle for Securities Transactions
MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017
The Municipal Securities Rulemaking Board (MSRB) is issuing this notice to remind municipal advisor firms of their obligation to ensure that every individual associated with the municipal advisor firm is … Continue reading MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017