SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending 02/28/2019)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2019)
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q1 2019 ( March 31, 2019)
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth, in the prescribed format, the following information: (A) for contributions to officials of issuers (other than a contribution made by a … Continue reading MSRB Quarterly Form G-37 Disclosure Submission Deadline
The Spring Conference will offer two training tracks, designed for new and for seasoned professionals: • TRACK 1: Building Core Competencies – BD & IA Training for New Compliance Professionals • TRACK 2: Today’s Issues and Insights – Coverage for Seasoned Professionals
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month. The fifth FOCUS filing is required for every broker or dealer who does not carry … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2019)
FINRA operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a holiday. http://www.finra.org/AboutFINRA/HolidaySchedule
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending 03/31/2019)
The Securities and Exchange Commission today announced that its staff will host a public forum focusing on distributed ledger technology (DLT) and digital assets on May 31, 2019. The forum is being organized by the agency’s Strategic Hub for Innovation and Financial Technology (FinHub) and was announced in connection with the launch of FinHub last year. FinHub is … Continue reading SEC Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets