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
As a reminder, the SEC adopted amendments to the net capital, customer protection, books and records, and notification rules (SEA Rules 15c3-1, 15c3-3, 17a-3, 17a-4 and 17a-11), and amended annual reporting and audit requirements under SEA Rule 17a-5. Certain of the new rules were to take effect on October 21, 2013. However, on October 17 … Continue reading Exemption Expiration for New SEC Financial Responsibility Rules
FINRA Diversity Summit March 4, 2014 New York, NY The FINRA Diversity Summit provides a forum for diversity practitioners and business leaders from securities firms, financial regulators and other organizations to share diversity and inclusion best practices that link business goals to the workplace and the marketplace. Participation is first come, first served. Visit the … Continue reading FINRA offers Diversity Summit
SIFMA's annual Insurance-and-Risk-Linked Securities Conference is the leading forum for updates, strategies and insights into the top industry issues in the coming year. A range of topics will be explored – from identifying and mobilizing new sources of capital, examining reinsurance's evolving role – to emerging legal issues and broadening the industry's scope. Registration questions? … Continue reading SIFMA Event: IRLS (Insurance & Risk Linked Securities) Conference 2014
Fixed Income Conference March 11, 2014 New York, NY The conference agenda and session descriptions are now available in our online brochure. Topics include: market structure and electronic trading; market volatility and liquidity issues; mark-ups, best execution and prevention of front-running; retail sales practice issues; municipal securities developments; TRACE nuts and bolts; and examination and … Continue reading FINRA offers Fixed Income Conference
The Municipal Securities Rulemaking Board (MSRB) received approval from the Securities and Exchange Commission (SEC) on September 26, 2013 to amend Rule G-11 (on primary offering practices), Rule G-8 (on books and records) and Rule G-32 (on disclosures in connection with primary offerings). The amendments to Rule G-11 establish certain basic protections for issuers and … Continue reading MSRB Notice 2013-20: SEC Approves Amendments to MSRB Rules G-11, G-8 & G-32.