Web CRD & IARD are available for QUERY-only
Web CRD and IARD are available for QUERY-only and the creation of "Pending" filings.
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Calendar of Events
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Web CRD/IARD Available
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.
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FINRA Releases 2015 Regulatory and Exam Priorities Letter
Five Challenges Firms Should Address Highlighted in 10th Anniversary of Letter WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2015 Regulatory and Examination Priorities letter highlighting significant risks and issues that, if not properly addressed, could adversely affect investors and market integrity. This year's letter, the tenth edition of providing such guidance … Continue reading FINRA Releases 2015 Regulatory and Exam Priorities Letter
MSRB Accepting Municipal Asset-Backed Securities Disclosures on EMMA
Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today announced that its Electronic Municipal Market Access (EMMA®) service would begin collecting and disseminating disclosures related to municipal asset-backed securities required under the Securities and Exchange Commission’s (SEC) Rule 15Ga-1 on January 9, 2015. Read the regulatory notice. The changes facilitate a requirement adopted by … Continue reading MSRB Accepting Municipal Asset-Backed Securities Disclosures on EMMA
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MSRB 2014 Annual Report
MSRB PUBLISHES 2014 ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTSAlexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today published its 2014 Annual Report, which highlights important advances in municipal advisor regulation, enhancements to market structure and ongoing efforts to maximize regulatory efficiency. The MSRB, created by Congress in 1975, is the principal regulator of the municipal securities market. … Continue reading MSRB 2014 Annual Report
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SIFMA Issues 2014 Year in Review
New York, N.Y., January 14, 2015 - SIFMA today issued our 2014 Year in Review. The report highlights the work of more than 10,000 professionals from 500 member firms who participate in 100 committees and countless working groups to advocate in support of effective and resilient capital markets. The full report is available in PDF at … Continue reading SIFMA Issues 2014 Year in Review
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NASD Rule 3050 Transactions for Associated Persons
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the associated person with any foreign or domestic brokerage firm, bank, investment adviser or other financial institution. Further, all associated persons shall be required to notify … Continue reading NASD Rule 3050 Transactions for Associated Persons
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FINRA BD & IA Renewals for 2015 Renewal Statement deadline
Final Renewal Statements: On January 2, 2015, Final Renewal Statements and reports became available for viewing and printing in Web CRD/IARD. These statements reflect the final status of broker-dealer, registered representative, investment adviser firm, investment adviser representative, and branch registrations and/or notice filings as of December 31, 2014. Any adjustments in fees owed because of … Continue reading FINRA BD & IA Renewals for 2015 Renewal Statement deadline
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Automatic Transfers: Ebill System in CRD
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 any outstanding renewal assessment is satisfied.
SIFMA Statement on the State of the Union Address
Washington, D.C., January 20, 2015 - SIFMA today released the following statements from Kenneth E. Bentsen, Jr., president and CEO, on President Obama’s State of the Union address: Cybersecurity: “SIFMA applauds the President's focus on cybersecurity as this is a top priority for the financial services industry, one that our members are dedicating significant resources … Continue reading SIFMA Statement on the State of the Union Address
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MSRB Quarterly Board Meeting
Alexandria, VA – The Board of Directors of the Municipal Securities Rulemaking Board (MSRB) held its quarterly meeting January 28-29, 2015, where it reached another milestone in its development of a baseline qualifying exam for individuals who engage in municipal advisory activities, such as providing financial advice to state and local governments on municipal bond issuances. … Continue reading MSRB Quarterly Board Meeting
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SIFMA Issues Quarterly Government Securities Issuance and Rates Forecast for 1Q 2015
New York, NY, January 29, 2015 - SIFMA today issued its quarterly government securities issuance and rates forecast for the first quarter of 2015. The full report is available at the following link: http://www.sifma.org/govtforecast1Q2015/
MSRB Bank Loan Disclosure Market Advisory
www.msrb.org/Rules-and-Interpretations/Regulatory-Notices.aspx
Proposed Rule Change to Amend FINRA Rule 6433: Effective Immediately
Description Proposed rule change to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) to extend the Tier Size Pilot, which currently is scheduled to expire on February 13, 2015, for an additional three months, until May 15, 2015.