The CFTC Recordkeeping rules came into effect earlier this year. Hear from industry experts on what you need to know to ensure your firm is in compliance.  Topics include: CFTC Voice Recording and Recordkeeping Requirements including mobile recording, searchability, and privacy concerns. Trade Reconstruction and Recordkeeping, including, streaming quotes retention, execution information and rules for … Continue reading SIFMA Event: New CFTC Voice Recording & Recordkeeping Rules →

The Municipal Securities Rulemaking Board (MSRB) will host a public education and outreach seminar for municipal market professionals in Atlanta, Georgia on January 28, 2014. The MSRB, which oversees the $3.7 trillion municipal securities market, will discuss development of new regulations for professionals that provide financial advice to state and local governments, among other topics. … Continue reading MSRB Event: Public Education & Outreach Seminar in Atlanta →

SIFMA's 14th Annual Anti-Money Laundering and Financial Crimes Conference will bring together leading experts from the securities industry, regulatory agencies and law enforcement to discuss recent developments in the anti-money laundering space and provide practical guidance for implementing effective compliance programs to address money laundering and other financial crimes. Anti-money laundering compliance is an integral part of a … Continue reading SIFMA Event: 2014 Annual AML and Financial Crimes Conference →

Text: 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 … Continue reading Outside Business Activity Review (NASD Rule 3050) →

FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules-and related forms for SEC—registered funding portals that become FINRA members pursuant to the crowdfunding provisions of the JOBS Act. The comment period expires February 3, 2014. See Regulatory Notice 13-34.

FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules-and related forms for SEC—registered funding portals that become FINRA members pursuant to the crowdfunding provisions of the JOBS Act. The comment period expires February 3, 2014. See Regulatory Notice 13-34

13-43: SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds; Effective Date: February 3, 2014

Deadline for receipt of FINAL Renewal Statement payments and reporting any Renewal Discrepancies.

Options Regulation Conference February 6, 2014 1 p.m. to 3 p.m. Central Time In-Person or Conference Call FINRA’s Market Regulation department is hosting a free two-hour conference to discuss regulatory issues with firms that trade in the options markets. The conference includes a panel of legal representatives from the options industry, including senior representatives from … Continue reading FINRA offers Options Regulation Conference →

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FINRA is requesting comment on a concept proposal to develop a new Comprehensive Automated Risk Data System (CARDS), a rule-based program that would allow FINRA to collect on a standardized, automated and regular basis, account information, as well as account activity and security identification information that a firm maintains as part of its books and … Continue reading FINRA Requests Comments: Comprehensive Automated Risk Data System (CARDS) →

13-41: eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants: Effective Date: Monthly FOCUS Report Part II and Part II CSE Due on February 26, 2014, Covering the January 31, 2014, Reporting Period