2018 FINRA Diversity Summit
Promising New Directions: Where Are We and Where Should We Be? April 17, 2018 8:00 a.m. – 3:30 p.m. New York, NY (Midtown) FINRA’s Diversity Summit provides a forum for … Continue reading 2018 FINRA Diversity Summit
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Equity Market Structure Conference
SIFMA Conference Center New York City, NY, United StatesSIFMA 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 Equity Market Structure Conference
Global Finance Forum
Ritz-Carlton West-End, Washington, D.C., United StatesThe 2nd annual Global Finance Forum is hosted by the American Investment Council (AIC), Futures Industry Association (FIA), Investment Company Institute (ICI), Managed Funds Association (MFA), Securities Industry and Financial … Continue reading Global Finance Forum
FINRA Foundation Seeks Applicants for Military Spouse Fellowship
The FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2018 class of financial Fellows — a unique program designed to increase the financial capability of U.S. … Continue reading FINRA Foundation Seeks Applicants for Military Spouse Fellowship
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
Form Custody Filings (period ended 03/31/2018)
Firms are required to file the Form Custody when they submit their Focus filings.
Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2018)
FINRA AML Half-Day Seminar
Costa Mesa Marriot 500 Anton Blvd., Costa Mesa, CA, United StatesFINRA’s AML Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides … Continue reading FINRA AML Half-Day Seminar
FINRA Midwest Region Member Forum
W Chicago Hotel City Center 172 West Adams Street, Chicago, Illinois, United StatesThe FINRA Midwest Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest Region the opportunity to engage in key … Continue reading FINRA Midwest Region Member Forum
FINRA Requests Comments: Outside Business Activities Rules
Comments are due April 27, 2018, on FINRA's proposed new rule to address the outside business activities of registered persons. The proposal is the result of FINRA's recent retrospective review … Continue reading FINRA Requests Comments: Outside Business Activities Rules
Supplementary Inventory Schedule Reporting period end date of 03-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as … Continue reading Supplementary Inventory Schedule Reporting period end date of 03-31-2018
Outside Business Activity Review (FINRA Rule 3270)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 03/31/2018)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 03/31/2018)
Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2018)
MSRB Rule G-37 Quarterly Reporting Deadline
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline
Annual Audit Filing Due Date (Period Ending 02/28/2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 02/28/2018)
Form OBS Quarterly filing due for Q1 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly … Continue reading Form OBS Quarterly filing due for Q1 2018
SIFMA Operations Conference and Exhibition
JW Marriot Phoenix Desert Ridge 5350 East Marriot Drive, Phoenix, ArizonaFor 45 years, SIFMA’s Operations Conference & Exhibition has gathered operations, technology and regulatory leaders from across the securities industry to collaborate, share information and address challenges. As the industry … Continue reading SIFMA Operations Conference and Exhibition
Enhanced Disclosures planned for FINRA Rule 2232
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities FINRA recently adopted enhanced confirmation disclosure requirements for corporate and agency debt securities. … Continue reading Enhanced Disclosures planned for FINRA Rule 2232
FINRA Half-Day Compliance Boot Camps – District 10 New York
FINRA New York District Office Brookfield Place 200 Liberty Street, New York, United StatesDistrict 10 Half Day Compliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable … Continue reading FINRA Half-Day Compliance Boot Camps – District 10 New York
FINRA Half-Day Compliance Bootcamp – District 7 Boca Raton
FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United StatesDistrict 7 - Boca Raton - Half-Day Compliance Boot Camp May 15, 2018 9:30 a.m. - 1 p.m. FINRA District Office 5200 Town Center Circle, Suite 200 Boca Raton, FL … Continue reading FINRA Half-Day Compliance Bootcamp – District 7 Boca Raton
FINRA Registration and Disclosure Boot Camp
FINRA 9509 Key West Avenue, Rockville, MD, United StatesThe FINRA Registration and Disclosure Boot Camp is beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and … Continue reading FINRA Registration and Disclosure Boot Camp
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
2018 FINRA Annual Conference
Cipriani 25 Broadway, New York City, NY, United StatesRegistration is now open for the 2018 FINRA Annual Conference. Join leaders of firms of all sizes, compliance professionals, securities attorneys, government officials, FINRA senior leaders and representatives from other … Continue reading 2018 FINRA Annual Conference
Net Capital Computation (Month ending 04/30/2018)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 04/30/2018)
Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2018)
Outside Business Activity Review (FINRA Rule 3270)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Friday before Memorial Day – Early close 3:00 p.m.
FINRA operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a … Continue reading Friday before Memorial Day – Early close 3:00 p.m.
Supplementary Inventory Schedule Reporting period end date of 04-30-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as … Continue reading Supplementary Inventory Schedule Reporting period end date of 04-30-2018
Annual Audit Filing Due Date (Period Ending March 31, 2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending March 31, 2018)
FINRA Half-Day Compliance Boot Camp – District 9 – Philadelphia
Omni Richmond Hotel 100 S. 12th Street, Richmond, VA, United StatesDistrict 9 - Philadelphia Half-Day Compliance Boot Camp June 12, 2018 8:30 a.m. - 1:30 p.m. Omni Richmond Hotel 100 S. 12th Street Richmond, VA 23219 (804) 344-7000 Topics Effective … Continue reading FINRA Half-Day Compliance Boot Camp – District 9 – Philadelphia
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
SIFMA’s FinTech Conference
SIFMA Conference Center New York City, NY, United StatesFinTech continues to drive the transformation of the securities industry: artificial intelligence and machine learning are giving firms new insights, blockchain projects are moving closer to production, and robotics are … Continue reading SIFMA’s FinTech Conference
Monthly & Fifth FOCUS IIA Filings (Month ending 05/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 05/31/2018)
Supplementary Inventory Schedule Reporting period end date of 05-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as … Continue reading Supplementary Inventory Schedule Reporting period end date of 05-31-2018
Outside Business Activity Review (FINRA Rule 3270)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Annual Audit Filing Due Date (Period Ending April 30, 2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending April 30, 2018)
Review and update Firm Element Continuing Education Plan
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and update Firm Element Continuing Education Plan
FINRA Half-Day Compliance Bootcamp – District 8 – Chicago
FINRA Chicago District Office 55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, United StatesHalf-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Bootcamp – District 8 – Chicago
FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta
Atlanta District Office One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United StatesHalf-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp – District 7 – Atlanta
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2018)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2018)
Extension to Implement FINRA Rule 4240
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 4240 (Margin Requirements for Credit … Continue reading Extension to Implement FINRA Rule 4240
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
Form Custody Filings (period ended 06/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2018)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2018)
Outside Business Activity Review (FINRA Rule 3270)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Disclosure of Order Routing Practices (SEC Rule 606) (Q2 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q2 2018)
FINRA Half-Day Compliance Boot Camp – District 3 – Denver
Renaissance Seattle Hotel 515 Madison Street, Seattle, WA, United StatesHalf-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp – District 3 – Denver
Supplementary Inventory Schedule Reporting period end date of 06-30-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions … Continue reading Supplementary Inventory Schedule Reporting period end date of 06-30-2018
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2018)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2018)
Annual Audit Filing Due Date (Period Ending 5/31/2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 5/31/2018)
MSRB Rule G-37 Quarterly Reporting Deadline – Q2 2018
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline – Q2 2018
SIPC Assessments (Year ending 06/30/2018) SIPC 6
Members of SIPC are required to pay their assessment on SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to … Continue reading SIPC Assessments (Year ending 06/30/2018) SIPC 6
Form OBS Quarterly filing due for Q2 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly … Continue reading Form OBS Quarterly filing due for Q2 2018
FINRA Half-Day Compliance Boot Camp District 2 – Los Angeles
Hilton Del Mar 15575 Jimmy Durante Blvd., Del Mar, CA, United StatesAugust 9, 2018 9:00 a.m. - 1:00 p.m. Hilton San Diego Del Mar 15575 Jimmy Durante Blvd. Del Mar, CA 92014 (858) 792-5200 Topics Supervision Social Media
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
FINRA 2018 Fixed Income Conference
InterContinental New York Times Square 300 West 44th Street, New York, United StatesFINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. Location InterContinental New York Times Square 300 West 44th Street New … Continue reading FINRA 2018 Fixed Income Conference
Net Capital Computation (Month ending 07/31/2018)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 07/31/2018)
Monthly & Fifth FOCUS Part II/IIA Filings (Month ending 7/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings (Month ending 7/31/2018)
Supplementary Inventory Schedule Reporting period end date of 07-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions … Continue reading Supplementary Inventory Schedule Reporting period end date of 07-31-2018
FINRA Half-Day Compliance Boot Camp District 8 – Southfield Detroit
The Westin Southfield Detroit 1500 Town Center, Southfield, MI, United StatesHalf-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp District 8 – Southfield Detroit
Annual Audit Filing Due Date (Period Ending 6/30/2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 6/30/2018)
Outside Business Activities Review
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activities Review
FINRA 2018 Fixed Income Conference
InterContinental New York Times Square 300 West 44th Street, New York, United StatesFINRA’s Fixed Income Conference on Sept. 13, 2018 focuses on current market impacts on fixed income, and how regulators and firms are responding. Location InterContinental New York Times Square 300 … Continue reading FINRA 2018 Fixed Income Conference
FINRA Half-Day Compliance Boot Camp – District 5 – Dallas
FINRA Dallas District Office 12801 North Central Expressway, Suite 1050, Dallas, TX, United StatesCompliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities … Continue reading FINRA Half-Day Compliance Boot Camp – District 5 – Dallas
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
FINRA Half-Day Boot Camp – Kansas City – District 4
DoubleTree Hotel St. Louis at Westport 1973 Craigshire, St. Louis, MO, United StatesHalf-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Half-Day Boot Camp – Kansas City – District 4
FINRA Registration and Disclosure Boot Camp
FINRA 9509 Key West Avenue, Rockville, MD, United StatesThe FINRA Registration and Disclosure Boot Camp is beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and … Continue reading FINRA Registration and Disclosure Boot Camp
Monthly & Fifth FOCUS Part II/IIA Filings ( Month ending 8/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings ( Month ending 8/31/2018)
Outside Business Activity Review (FINRA Rule 3270)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Review and update Firm Element Continuing Education Plan
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and update Firm Element Continuing Education Plan
Supplementary Inventory Schedule Reporting period end date of 08-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as … Continue reading Supplementary Inventory Schedule Reporting period end date of 08-31-2018
SIFMA Annual Meeting
Mandarin Oriental 1330 Maryland Avenue SW, Washington, D.C., DC, United StatesEach fall, SIFMA’s Annual Meeting gathers in Washington, D.C. for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Mark your calendar to join us … Continue reading SIFMA Annual Meeting
Annual Audit Filing Due Date (Period Ending 7/31/2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 7/31/2018)
FINRA Half-Day Compliance Boot Camp – District 11 – Boston
Stamford Marriot Hotel 243 Tresser Blvd., Stamford, CT, United StatesHalf-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp – District 11 – Boston
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)
AICPA and SIFMA FMS National Conference on the Securities Industry
SIFMA Conference Center New York City, NY, United StatesJoin senior executives and regulatory policymakers at The National Conference on the Securities Industry this fall to examine the latest developments in evolving securities regulations, auditing and accounting requirements. Hosted … Continue reading AICPA and SIFMA FMS National Conference on the Securities Industry
FINRA Half-Day Compliance Boot Camp District 10 – Long Island
FINRA District Office Jericho, N. Y. Two Jericho PlazaHalf-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp District 10 – Long Island
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
FINRA Renewal Program – U5 & BR Closing Submissions
Firms may begin to submit post-dated Form U5 and BR Closing/Withdrawals, which must be dated 12/31/18.
FINRA Renewal Program – Post Dated Submissions
Firms may begin to submit post-dated Forms U5 and BR Closing/Withdrawal, which must be dated 12/31/2018.
Form Custody Filings (period ended 09/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly FOCUS Part llA Filings (Quarter ending 09/30/2018)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 09/30/2018)
FINRA Half-Day Boot Camp – New York – District 10
FINRA District Office Jericho, N. Y. Two Jericho PlazaHalf-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Half-Day Boot Camp – New York – District 10
Outside Business Activity Review (FINRA Rule 3270)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Supplementary Inventory Schedule Reporting period end date of 09-30-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as … Continue reading Supplementary Inventory Schedule Reporting period end date of 09-30-2018
SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers
The SEC (Commission) is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange Act”). The amendment would provide … Continue reading SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers
Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2018)
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2018)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2018)
2018 North Region Member Forum – Boston
Hyatt Regency Boston One Avenue de Lafayette, Boston, Massachusetts, United StatesThe North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions … Continue reading 2018 North Region Member Forum – Boston
Annual Audit Filing Due Date (Period Ending August 31, 2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending August 31, 2018)
MSRB Rule G-37 Quarterly Reporting Deadline Q3 2018
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline Q3 2018
MSRB Rule A·14 (Annual Fee)
MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual … Continue reading MSRB Rule A·14 (Annual Fee)
Form OBS Quarterly filing due for Q3 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly … Continue reading Form OBS Quarterly filing due for Q3 2018
FINRA Post-Dated Submissions
Firms may begin to submit post-dated Forms BDW and ADV-W, which must be dated 12/31/18.