2014 FINRA Small Firm Conference December 10 – 11, 2014 San Francisco, CA Registration is now open for FINRA's new Small Firm Conference, which focuses on small firms' practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists … Continue reading 2014 FINRA Small Firm Conference
Firms with sufficient monies in their Flex-Funding Account will have funds transferred to their Renewal Account to cover total renewal fees owed. Transfers will be conducted every day until Web CRD shuts down for year-end procesing.
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)
Web CRD/IARD are available from 8 am to 6 pm ET. Note: FINRA will be closed Saturday, December 27 and FINRA staff support is unavailable. Therefore, Forms U4 and BD filing/deficiencies will not be manually reviewed by staff until full system functionality resumes on Jan. 2, 2015.
Web CRD and IARD are available for QUERY-only and the creation of "Pending" filings.
Web CRD and IARD are available with complete functionality as of 5 a.m., ET, including submitting form filings and approving registrations. • Overpayments are transferred to firms' Flex-Funding Account. Refund requests should be made from this account. • Final Renewal Statements and reports are available for viewing and printing.