FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and Update Firm Element Continuing Education Plan
The Personnel Assessment and Gross Income Assessment (“GIA”) is designed to stabilize revenues used to support FINRA’s regulatory activities. The GIA is based on a member firm’s gross revenues and has a 7 tiered structure with a minimum of $1,200. The Personnel Assessment (“PA”) is based upon a three tiered rate structure: firms with 1 … Continue reading Personnel Assessment and Gross Income Assessment
Financial Industry Regulatory Authority ("FINRA") issued Regulatory Notice 16-09, in which FINRA is seeking comments on proposed amendments to FINRA rules relating to the settlement cycle. FINRA proposes to adopt necessary rule changes in a manner and timeline that is consistent with the SEC and other self-regulatory organizations SROs in an effort to provide the … Continue reading Comment Period Ends on Proposed FINRA Rules Amendments Related to Conversaion T+2 Settlement Cycle
Celebrating its 16th year, SIFMA's C&L Anti-Money Laundering & Financial Crimes Conference gathered more than 400 compliance and legal professionals from April 5-6 at the Marriott Marquis in New York City. Our new two-day program featured practical insights from FINRA's Bradley Bennett, Executive Vice President, Enforcement; Treasury's Jennifer Fowler, Deputy Assistant Secretary for Terrorist Financing; … Continue reading SIFMA’s Anti-Money Laundering & Financial Crimes Conference
The FINRA Diversity Summit provides a forum for business leaders, diversity practitioners and human resource professionals in the financial services industry to explore a variety of corporate practices, strategies, and outreach efforts intended to leverage the benefits of building sustainable diversity and inclusion programs. Visit the FINRA website for more information and to register.
The SEC amendments to NASD Rule 2340 (Customer Account Statements) become effective on April 11, 2016. The amendments modify the requirements relating to the inclusion of per share estimated values for direct participation program (DPP) and unlisted real estate investment trust (REIT) securities on account statements, and to FINRA Rule 2310 (Direct Participation Programs) to make corresponding … Continue reading Effective Date: Amendments to FINRA Rule 2340 Regarding DPP and Unlisted REIT Securities
Compliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Compliance Boot Camp
District 1 San Francisco - District Compliance Meeting
FINRA District 4 has scheduled a District Compliance Event for FINRA members.
Compliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Boot Camps
FINRA has extended the implementation date for FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) from February 22, 2016 to April 22, 2016.
Firms are required to file Form Custody pursuant to SEA Rule 17a-5(a)(5).
Compliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Compliance Boot Camps
Compliance Boot Camp FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace. Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Boot Camp