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 of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activity Review (NASD Rule 3050)
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 Office staff. For more information including discussion topics, see the individual program descriptions below. Date Event Location and Venue Fees Registration September 4, 2013 1:30 … Continue reading District 6 (Dallas) Compliance Meeting
The Municipal Securities Rulemaking Board (MSRB) today filed with the Securities and Exchange Commission revised amendments to MSRB Rule G-8, Rule G-11 and Rule G-32 on retail order periods. The revised amendments are in response to comments received by the SEC on the MSRB’s original rule filing, which aimed to address concerns that new … Continue reading MSRB Files with SEC Revised Amendments to MSRB Rules on Retail Order Periods
529 'Essentials' Seminar / September 9, 2013 529 Conference/ September 10-11, 2013 JW Marriott, Orlando Building off of the exceptional foundation that Joe Hurley and SavingforCollege.com have established over the past 10+ years, the 529 Conference 2013 − under the helm of Paul Curley of Strategic Insight's 529 practice area and the editors of PLANADVISER magazine … Continue reading MSRB 529 Seminar & Conference
The Commitee on Financial Services Wednesday, September 11 @2:30PM Monetary Policy and Trade Chairman Jeb Hensarling Click here for the Committee Memorandum. Witness List Dr. Allan H. Meltzer, Professor of Political Economy, Tepper School of Business, Carnegie Mellon University Dr. Marvin Goodfriend, friends of Allan Meltzer, Professor of Economics, Tepper School of Business, Carnegie Mellon … Continue reading Government Financial Hearing entitled “The Fed Turns 100: Lessons Learned over a Century of Central Banking”
2013 Foundations of Web CRD/IARD Training Sessions Conference Dates: September 16 & 17, 2013 8 a.m. - 5 p.m. ET, both days Fee: $500.00 Location: FINRA 9509 Key West Avenue, Rockville, MD 20850 Are you new to Web CRD & IARD? Are you new to registration and licensing? Are you interested in a … Continue reading FINRA 2013 Foundations of Web CRD/IARD
FINRA Issues New Investor Alert: Private Placements—Evaluate the Risks Before Placing Them in Your Portfolio WASHINGTON—The Financial Industry Regulatory Authority (FINRA) issued a new investor alert to caution investors that investing in private placements is risky and can tie up their money for a long time. A private placement is an offering of a company's securities … Continue reading FINRA Issues New Investor Alert: Private Placements
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html
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 and approved by the FINOP within 17 business days after the end of each month.
38th Bond Attorneys' Workshop Sep 25–27, 2013 Sheraton Chicago Hotel & Towers Chicago, Illinois For registration information and workshop highlights: http://www.nabl.org/education/event/bond-attorney-workshop STAY ON TOP OF BEST PRACTICES AND NEW DEVELOPMENTS Will there be tax reform this year or next? What is the SEC telling us we must do? How do I understand and use … Continue reading 38th Bond Attorney’s Workshop
What: Luncheon or may participate in webinar Where: SIFMA Conference Center 120 Broadway, NYC When: September 26, 2013 12:00-2:00 PM This session will feature: An overview of today's Financial Regulations and Customer Protection Market Regulation from the Regulator's Perspective A Dodd-Frank Basic Overview A brief SIFMA introduction and their role today within the regulatoy markets … Continue reading SIFMA Customer Protection and Regulation Overview Luncheon/Webinar
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 of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activity Review (NASD Rule 3050)
We cordially invite you to attend the SIFMA Compliance & Legal Society Charlotte Regional Seminar to be held at The Ritz-Carlton on September 30th, 2013. This one day seminar will feature presentations by leading securities regulators and industry professionals. Topics Include: Hot Topics In Securities Enforcement Cybersecurity Compliance Framework for Bank Supervision Investment Advisers – … Continue reading SIFMA Compliance & Legal Society Charlotte Regional Seminar
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 investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and update Firm Element Continuing Education Plan
Mark your calendar and plan to attend the 2014 FINRA Annual Conference to hear the latest regulatory developments and FINRA priorities, and gain practical guidance on compliance issues. Register by October 1 to take advantage of the lowest registration rates that are available to the first 100 in-person registrants. For more information, visit www.finra.org/annualconference
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 on member firm’s municipal securities trading volume for the prior quarter. finra.complinet.com/en/display/display_viewall.html
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 5131 (New Issue Allocations and Distributions) to allow members to rely on written representations from certain accounts to comply with Rule 5131(b) related to spinning. Please click on the link … Continue reading Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions): Comment Deadlline
As a reminder, October 4 is the nomination deadline for upcoming elections to fill one seat on the Small Firm Advisory Board and vacancies on FINRA District Committees. The SFAB Election Notice provides details about the election process for New York Region vacancy. The District Committee Election Notice provides details about the seats open for … Continue reading Nominations Due October 4: SFAB and District Committees