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
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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
2017 Fixed Income Conference
The Fairmont Dallas Hotel 1717 N. Akard Street, Dallas, TX, United StatesFINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. In-person Registration Live Broadcast Registration Location The Fairmont Dallas Hotel 1717 … Continue reading 2017 Fixed Income Conference
District Compliance Meeting – District 4 Kansas City
West Des Moines Marriot 1250 Jordan Creek Parkway, West Des Moines, IA, 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 – District 4 Kansas City
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
Commitment to Compliance Conference
Change is coming for investment adviser compliance professionals. Substantial Form ADV changes come with an October deadline and the knowledge that the new data collected will assist the Commission in … Continue reading Commitment to Compliance Conference
FINRA Foundations of Web CRD/IARD Training
FINRA 9509 Key West Avenue, Rockville, MD, 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 Registration and Disclosure Boot Camp
Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CAThis 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
FINRA District Compliance Meeting: Ft. Lauderdale, FL – District 7 ( Atlanta)
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 District Compliance Meeting: Ft. Lauderdale, FL – District 7 ( Atlanta)
District Compliance Meeting – District 4 Kansas City
DoubleTree Hotel St. Louis at Westport 1973 Craigshire, St. Louis, MO, 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 – District 4 Kansas City
Compliance Boot Camp – District 3 Denver
Hilton Garden Inn - Denver Tech 7675 E. Union Avenue, Denver, CO, 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 Compliance Boot Camp – District 3 Denver
Monthly & Fifth’ FOCUS IIA Filings (Month ending 08/31/2017)
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 08/31/2017)
Net Capital Computation (Month ending 08/31/2017)
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 08/31/2017)
SEC Request for Comment: Consolidated Audit Trail
On August 30, 2017, the SEC issued an order instituting proceedings to determine whether to approve or disapprove rule proposals filed by FINRA and the national securities exchanges to eliminate … Continue reading SEC Request for Comment: Consolidated Audit Trail
District Compliance Meeting – District 7 Boca Raton, Florida
The Westin Ft. Lauderdale 400 Corporate Drive, Ft. Lauderdale, FL, 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 – District 7 Boca Raton, Florida
Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members
FINRA is hosting a call and WebEx presentation related to the Consolidated Audit Trail on Wednesday, September 27, 2017, at 4:15 p.m. The purpose of the call is to help … Continue reading Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members
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
Annual Audit Filing Due Date (Period Ending 07/31/2017)
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 07/31/2017)
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
Investment Advisers Face Enhanced Information Reporting
The Securities and Exchange Commission (SEC) adopted amendments to several Investment Advisers Act rules, including the investment adviser registration data collection and reporting forms to enhance the reporting and disclosure … Continue reading Investment Advisers Face Enhanced Information Reporting
2018 FINRA Annual Conference Early Registration
Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, 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 Early Registration
Information Update for Advisers Filing Form ADV Amendments
Recently, the Securities and Exchange Commission (SEC) staff has received inquiries about circumstances in which a filer determines that it must file an other-than-annual amendment to Form ADV on or … Continue reading Information Update for Advisers Filing Form ADV Amendments
Rule Change to Reduce the Delay Period for TRACE
Effective October 2, 2017, FINRA is reducing the delay period applicable to Historic TRACE Data for corporate bonds and agency debt, including Rule 144A transactions in such securities, from 18 months … Continue reading Rule Change to Reduce the Delay Period for TRACE
FINRA 2017 Advertising Regulation Conference
Renaissance Washington D.C. Hotel 999 Ninth Street, NW, Washington, D.C., DC, United StatesFINRA's Advertising Regulation Conference provides a forum to hear about practical guidance on complying with advertising rules and new developments involving the communications rules, and the opportunity to gain guidance … Continue reading FINRA 2017 Advertising Regulation Conference
FINRA Boot Camp – District 2 – Del Mar, California
Hilton Del Mar 15575 Jimmy Durante Blvd., Del Mar, CA, United StatesHalf-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Boot Camp – District 2 – Del Mar, California
District Compliance Meeting – District 2 – Del Mar California
Hilton Del Mar 15575 Jimmy Durante Blvd., Del Mar, 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 – District 2 – Del Mar California
FINRA District Compliance Meeting – District 9B Woodbridge
Hyatt Regency Morristown 3 Headquarters Plaza, Morristown, NJ, 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 Compliance Meeting – District 9B Woodbridge
Small Firm CRCP Scholarship
FINRA is offering five scholarships to industry professionals from small firms to attend the FINRA Institute Certified Regulatory and Compliance ProfessionalTM (CRCPTM) program. The scholarship covers full tuition for the … Continue reading Small Firm CRCP Scholarship
District Compliance Meeting – District 3 – Tempe, Arizona
Tempe Mission Palms Hotel 60 East Fifth Street, Tempe, AZ, 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 – District 3 – Tempe, Arizona
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 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 (Q3 2017)
National Society of Compliance Professionals – National Conference
Omni Shoreham 2500 Calvert Street NW, Washing, D.C., DC, United StatesOctober 16 – 18, 2017 :: Washington, D.C. :: Omni Shoreham Hotel The NSCP National Conference offers unique educational opportunities to further the professional growth of compliance professionals: Broker-Dealers :: … Continue reading National Society of Compliance Professionals – National Conference
FINRA Boot Camp – District 10 – New York
FINRA New York District Office Brookfield Place 200 Liberty Street, New York, United StatesDesigned 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 Boot Camp – District 10 – New York
FINRA AML Seminar – District 6 Dallas
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 AML Seminar – District 6 Dallas
FINRA Boot Camp – District 10 Long Island – Jericho, New York
Two Jericho Plaza 2nd Floor, Wing A, Jericho, NY, 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 Boot Camp – District 10 Long Island – Jericho, New York
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 Annual Meeting – The Capital Markets Conference
JW Marriot 1331 Pennsylvania Avenue NW, Washington, DC, United StatesSIFMA's Annual Meeting returns to Washington, D.C. this fall for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Join SIFMA for expert insights and unparalleled … Continue reading SIFMA’s Annual Meeting – The Capital Markets Conference
Renewal Dates for FINRA 2018 Preliminary Statement Begin
FINRA Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.
FINRA District Compliance Meeting – 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 – District 10 New York
Quarterly FOCUS and SSOI Filing (Quarter ending 09/30/2017)
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 and SSOI Filing (Quarter ending 09/30/2017)
FINRA District Compliance Meeting – District 11 Boston
Federal Reserve Bank of Boston 600 Atlantic Avenue, Boston, MA, 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 Compliance Meeting – District 11 Boston
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
Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2017)
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 2017)
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2017)
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 Gateway. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2017)
Annual Audit Filing Due Date (Period Ending 08/31/2017)
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 08/31/2017)
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 2018 Renewal Program
Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not … Continue reading FINRA 2018 Renewal Program
C&L Society New York Regional Seminar
Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United StatesJoin several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 2nd at the Marriott Marquis. This one day seminar will feature presentations … Continue reading C&L Society New York Regional Seminar
Internal Auditors Society Annual Conference
The Westin Ft. Lauderdale 400 Corporate Drive, Ft. Lauderdale, FL, United StatesThe SIFMA Internal Auditors Society (IAS) Annual Conference will examine how the Internal Audit, Risk Management and Compliance roles are evolving and responding to change and uncertainty on a global … Continue reading Internal Auditors Society Annual Conference
FINRA AML Seminar – District 7 – Boca Raton, Florida
FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, 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 AML Seminar – District 7 – Boca Raton, Florida
2017 FINRA Small Firm Conference
Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CAThe Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA … Continue reading 2017 FINRA Small Firm Conference
FINRA 2018 Renewal Program – Preliminary Statement Filings
Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not … Continue reading FINRA 2018 Renewal Program – Preliminary Statement Filings
C&L Society Chicago Breakfast
Mesirow Financial 353 North Clark Street, Chicago, IL, United StatesThe SIFMA Compliance & Legal Society will host a breakfast in Chicago on November 10, 2017 at Mesirow Financial. For registration questions, please contact SIFMA Compliance & Legal Society.
SIFMA FMS Fundamental Training Securities Operations
SIFMA Conference Center New York City, NY, United StatesThe session will cover the life-cycle of a trade from booking through its accounting on books and records. The session will also cover control environments around securities operations and will … Continue reading SIFMA FMS Fundamental Training Securities Operations
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
FINRA 2018 Preliminary Statements Available
Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not … Continue reading FINRA 2018 Preliminary Statements Available
FINRA AML Seminar – District 10 – New York
FINRA New York District Office Brookfield Place 200 Liberty Street, New York, United StatesDesigned 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 AML Seminar – District 10 – New York
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 Holiday: Day before Thanksgiving 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 FINRA Holiday: Day before Thanksgiving Day Early close ( 3:00 p.m.)
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 Holiday: Day after Thanksgiving 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 FINRA Holiday: Day after Thanksgiving Day ( 1:00 p.m. early close)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/2017)
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 10/31/2017)
Net Capital Computation (Month ending 10/31/2017)
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 10/31/2017)
Annual Audit Filing Due Date (Period Ending 09/30/2017)
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 09/30/2017)
SEC Covered Securities Amendment to Rule 146
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as amended (‘‘Securities Act’’), to designate … Continue reading SEC Covered Securities Amendment to Rule 146
Listed Options Symposium
SIFMA Conference Center New York City, NY, United StatesSIFMA’s Listed Options Symposium brings together industry leaders, representing various roles across the market segment, for in-depth discussions on the state of the options market, and the challenges and opportunities … Continue reading Listed Options Symposium