Regulatory Notice 14-20 Implementation Date: October 1, 2014 Executive Summary Starting on October 1, 2014, firms must select revised and new product and problem codes when: (1) reporting information regarding written customer complaints alleging theft or misappropriation of funds or securities, or forgery; (2) reporting quarterly statistical and summary information regarding written customer complaints; and … Continue reading FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online →

Where is the SILA 2014 National Education Conference? Disneyland® Hotel Anaheim, California When is the SILA 2014 National Education Conference? October 5-8, 2014 Attend SILA's annual conference to participate and learn about hot topics affecting insurance and securities licensing professionals. Following are securities related sessions on the agenda for the 2014 conference.  

FINRA's annual Advertising Regulation Conference provides practical guidance on complying with advertising rules and regulations for communications with the public. Highlights Current regulatory developments in securities advertising Interactive, hands-on workshops Office hours with FINRA Advertising Regulation analysts CLE and CPE credits available Register early for reduced in-person rates. Additional conference details—including the agenda and session … Continue reading FINRA Advertising Regulation Conference →

SR-FINRA-2014-034 Proposed Rule Change to Revise the Series 23 Examination Program Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the General Securities Principal Sales Supervisor Module (Series 23) examination program.2 The proposed revisions update the material to … Continue reading Proposed Rule Change to Revise the Series 23 Examination Program →

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SR-FINRA-2014-035 Proposed Rule Change to Revise the Series 24 Examination Program Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the General Securities Principal (Series 24) examination program. The proposed revisions update the material to reflect changes to … Continue reading Proposed Rule Change to Revise the Series 24 Examination Program →

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

SIFMA's next Social Media Seminar will take place on October 23, 2014 in New York City. Coming back to New York from the west coast, this one-day event brings together experts across multiple fields to further explore the increasingly important issues our industry faces in light of the rapidly changing and growing tools of social … Continue reading SIFMA Social Media Seminar →

Join SIFMA and SIFMA's Compliance & Legal Society at an Ethics Seminar for financial services lawyers. Top industry professionals will discuss a range of topics, including: the SEC and CFTC ethics rules, internal investigations, privilege issues, client relationships, and much more. Learn more about the ethical issues impacting the industry and satisfy all your ethics … Continue reading SIFMA Ethics Seminar →

The Complex Products Forum is a collaborative event that brings together regulators, distributors, and manufacturers to discuss the issues, challenges, and opportunities related to the sale of complex products to retail investors. This full-day program will examine: Reasonable-basis suitability and innovative investment products Due diligence process when on boarding new products Ongoing supervision and oversight … Continue reading SIFMA Complex Products Forum →

Join SIFMA's Financial Management Society (FMS) and the AICPA on October 29-30 for the latest accounting, auditing and financial regulatory developments affecting securities firms. Hear from regulators first-hand and gain access to in-depth analysis and thought provoking Q&A sessions with industry experts. NEW LOCATION: This year, the conference will be held at the New York … Continue reading SIFMA National Conference on the Securities Industry →

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) →