FINRA Revises the Series 4 Examination Program

FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject matter the examinations cover. Based on this review process, FINRA has revised the Registered Options Principal (Series 4) examination program. The changes are reflected in … Continue reading FINRA Revises the Series 4 Examination Program

2016 FINRA Annual Conference: Special Discounted Registration Rate

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

Interested in getting a discounted registration rate on the 2016 FINRA Annual Conference May 23-25, 2016? FINRA is offering discounts for those who meet requirements before Oct. 1. The special discounted rate for the first 100 in-person registrants is non-refundable. For all other registration categories, a full refund—less a $150 processing fee—will be granted to … Continue reading 2016 FINRA Annual Conference: Special Discounted Registration Rate

FINRA Advertising Regulation Conference

Renaissance Washington D.C. Hotel 999 Ninth Street, NW, Washington, D.C., DC, United States

Attend this event to hear about proposed changes and new developments involving the communications rules. Also, gain practical guidance on the advertising standards from industry and FINRA experts. Discounted registration rates are available through September 16.

Effective Date – New FINRA Rules for Cease & Desist Orders

The SEC approved amendments to FINRA rules for Cease & Desist Orders. The new rules and amendments lower the evidentiary standard to impose a temporary cease and desist order (TCDO); created a new expedited proceeding for repeated failures to comply with a TCDO or a permanent cease and desist order (PCDO); harmonized the provisions governing how documents are served in temporary cease and desist and expedited proceedings; clarified FINRA’s authority to impose a PCDO; and ease FINRA’s administrative burden in temporary cease and desist proceedings. The amendments become effective on November 2, 2015.

Comments Period Ends: Proposal to Merge FINRA Dispute Resolution Subsidiaries

The SEC comment period ends November 3, 2015 on FINRA's proposal to merge its dispute resolution subsidiaries, FINRA Dispute Resolution, Inc. into and with its regulatory subsidiary, FINRA Regulation, Inc. FINRA's existing dispute resolution program would continue to operate as a separate department within FINRA Regulation, and would be referred to as the Office of Dispute Resolution.

FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing

FINRA 9509 Key West Avenue, Rockville, MD, United States

As required by Regulation Systems Compliance and Integrity (Regulation SCI), FINRA has adopted new Rule 4380 related to mandatory member firm participation in business continuity and disaster recovery (BC/DR) testing. The new rule authorizes FINRA to designate firms that must participate in FINRA’s BC/DR testing under Regulation SCI, which will be conducted once per year. … Continue reading FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing

FINRA Small Firm Conference

Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CA

The Small Firm Conference 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 provide a step-by-step approach for complying with that particular rule.

Dissemination of Qualified Trade Reporting

Effective November 16, 2015, over-the-counter transactions in NMS stocks that are reported to FINRA as qualified contingent trades (QCTs) will be identified as such for purposes of public dissemination. This change affects dissemination only; firms are not required to change the way they report QCTs to FINRA.

2016 Renewals: B-D, IA – Firm, Agent & Branch

FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Statements to FINRA by December 18, 2015, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2016. FINRAregistered firms will also be subject to a late fee if payment is not received by December 18, 2015.

Comment Period Ends: Proposed FINRA Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults

FINRA seeks comment on proposed rules addressing the financial exploitation of seniors and other vulnerable adults. FINRA is proposing: (1) amendments to FINRA Rule 4512 (Customer Account Information) to require firms to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account; and (2) the adoption of new FINRA Rule 2165 (Financial Exploitation of Specified Adults) to permit qualified persons of firms to place temporary holds on disbursements of funds or securities from the accounts of specified customers where there is a reasonable belief of financial exploitation of these customers.

Effective Date: Electronic Submission of Subordinated Loan Requests

FINRA 9509 Key West Avenue, Rockville, MD, United States

FINRA is launching, effective November 30, 2015, a new electronic platform on Firm Gateway for firms to submit all new requests for approval of proposed subordinated loan agreements and secured demand note agreements (referred to as subordinations), including renewals of existing agreements. This Notice discusses the electronic submission process, which will replace the current submission of subordination requests in hard copy form to FINRA.

As of November 30, 2015, all new requests must be submitted in electronic form through Firm Gateway, and FINRA will no longer accept new requests filed in hard copy form.

2015 FINRA South Region Compliance Seminar

New Orleans Marriott 555 Canal Street, New Orleans, LA, United States

The South Region Compliance Seminar is conducted to help firms and their associated persons better understand current industry and regulatory issues. Throughout the event, staff members from the Atlanta, Boca Raton, Dallas and New Orleans offices, as well as other FINRA senior staff, will be available to discuss matters of interest with you. - See … Continue reading 2015 FINRA South Region Compliance Seminar

Automatic Transfers to Renewal Accounts

Firms with sufficient monies in their Flex-Funding accounts will have funds transferred to their Renewal Accounts to cover total renewal fees owed.   Transfers will be conducted every day until Web CRD/IARD shuts down for year-end processing.

Web CRD and IARD Unavailable

Web CRD and IARD are unavailable due to the holiday schedule and year-end processing.

Automatic Transfers

Automatic transfers: Firms with sufficient monies in their Flex-Funding Accounts will have funds transferred to their Renewal Accounts to cover total renewal fees owed. Transfers will b e conducted every day until any outstanding renewal assessment is satisfied.

Building a Stronger Defense Against Cybersecurity: FINRA Conference

New York Hilton Midtown 1335 Avenue of the Americas, New York City, NY, United States

FINRA's Cybersecurity Conference provides a forum to learn the fundamentals and take a deeper dive into key areas of cybersecurity. Understand your organization's vulnerabilities, the range of potential threats and learn tips to identify them. Gain knowledge for how to protect your organization from cyber threats and how to respond and recover when attacked

Comment Period Ends on Proposed FINRA Rules Amendments Related to Conversaion T+2 Settlement Cycle

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

FINRA Diversity Summit

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.

District 4 Kansas City – District Compliance Event

Hilton St. Louis at the Ballpark (Meeting Room: Arch View Ballroom) 1 S. Broadway St. , St. Louis, MO, United States

FINRA District 4 has scheduled a District Compliance Event for FINRA members.

2016 FINRA Annual Conference

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

There are two ways to participate: in-person or online. In-person: Marriott Marquis Washington, DC 901 Massachusetts Avenue, NW Washington, DC 20001 |Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the conference, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare … Continue reading 2016 FINRA Annual Conference

FINRA Announces CEO Transition

The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors has concluded the CEO search, and appointed Robert W. Cook as President and Chief Executive Officer, effective the second half of 2016. Mr. Cook will succeed Richard G. Ketchum, who has served as Chairman and CEO since 2009. The Board intends to … Continue reading FINRA Announces CEO Transition

FINRA District Compliance Meeting – Buffalo, New York

FINRA New Jersey District Office 581 Main Street - 7th Floor, Woodbridge, NJ, United States

FINRA District Compliance Meeting Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below.

FINRA District Compliance Meeting – Dallas, Texas

FINRA Dallas District Office 12801 North Central Expressway, Suite 1050, Dallas, TX, United States

FINRA District Compliance Meeting Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below.

FINRA District Compliance Meeting – Ft. Lauderdale, Florida

FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United States

FINRA District 7 Compliance Meeting Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below.

2016 Fixed Income Conference

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. Featured topics include: Evolving Bond Market Structure Key FINRA Regulatory Developments Pricing and Best Execution Requirements View the conference agenda with session descriptions.  

FINRA/SIFMA Senior Investor Conference

Renaissance Washington D.C. Hotel 999 Ninth Street, NW, Washington, D.C., DC, United States

Over the next 10-plus years, 10,000 Americans will turn 65 every day, with these investors accounting for more than 75 percent of financial assets in the United States. Seniors’ significant assets—and potential cognitive effects of the normal aging process—make them a target for exploitation and irreparable financial loss, even by people they trust. Protecting them … Continue reading FINRA/SIFMA Senior Investor Conference

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2016)

FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475

2016 FINRA Small Firm Conference

The Camby Hotel 2401 East Camelback Road, Phoenix, AZ, United States

The 2016 FINRA Small Firm Conference 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 provide a step-by-step approach for complying with that particular rule. Throughout the event, attendees have the opportunity to discuss … Continue reading 2016 FINRA Small Firm Conference

FINRA Updates the Transparency Services Participant Agreement

FINRA member firms that have an obligation to report over-the-counter secondary market transactions in eligible equity and fixed income securities must submit their transaction reports to the appropriate FINRA facility and are required to complete a participant application agreement before they are given access to the facility. Facilities covered by the FINRA Transparency Services Participation … Continue reading FINRA Updates the Transparency Services Participant Agreement

FINRA Requests Comments to improve Engagement Programs

FINRA is asking for comments regarding its recently announced new initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As one of the first steps of this initiative, this Notice solicits comment from all interested parties on FINRA’s current engagement programs. In connection with separate … Continue reading FINRA Requests Comments to improve Engagement Programs

2017 FINRA Annual Conference

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

Registration is now open for the 2017 FINRA Annual Conference. Join leaders of firms of all sizes, securities attorneys, government officials, FINRA senior leaders and representatives from other securities regulators for a three-day event dedicated to the most important issues affecting the securities industry. Reduced rates are available for the first 100 in-person registrants before … Continue reading 2017 FINRA Annual Conference

District 5 New Orleans – District Compliance Events

The Crescent Club 6075 Poplar Ave., Suite 909, Memphis, TN, United States

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program description below. Date Event Location & Venue Fees Registration May 17, 2017 9 … Continue reading District 5 New Orleans – District Compliance Events

FINRA Requests Comments on Rules Impacting Capital Formation

The ability of small and large businesses to raise capital efficiently is critical to job creation and economic growth. Broker-dealers play a vital role in helping businesses raise capital through the securities markets, and as a self-regulatory organization (SRO) for broker-dealers, FINRA has a variety of rules, operations and administrative processes that address their capitalraising … Continue reading FINRA Requests Comments on Rules Impacting Capital Formation

FINRA Requests Comment on FINRA Corporate Financing Rule

FINRA seeks comment on proposed amendments to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule. The proposal is intended to modernize Rule 5110 and to simplify and clarify its provisions. The proposal would retain the primary principle of the rule that no … Continue reading FINRA Requests Comment on FINRA Corporate Financing Rule

FINRA Requests Comment on Equity and Debt Research Rules

FINRA seeks comment on proposed amendments to FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to create a limited safe harbor for specified brief, written analysis distributed to eligible institutional investors that comes from sales and trading or principal trading personnel but that may … Continue reading FINRA Requests Comment on Equity and Debt Research Rules

FINRA District 7 Atlanta – District Compliance Events

Charlotte Convention Center 501 S. College Street, Charlotte, NC, United States

Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. Date Event Location & Venue Fees Registration May 31, 2017 9 … Continue reading FINRA District 7 Atlanta – District Compliance Events

FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs

FINRA recently announced a new initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As one of the first steps of this initiative, this Notice solicits comment from all interested parties on FINRA’s current engagement programs. In connection with separate reviews being conducted under this … Continue reading FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs

District 7- Boca Raton, Florida – Compliance Boot Camp

FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United States

June 20, 2017 9 a.m. – 1:30 p.m. Half-Day Compliance Boot Camp FINRA District Office 5200 Town Center Circle Suite 200 Boca Raton, FL 33486 (561) 443-8000 $195 View More Information and Register Topics: Effective Practices for Working With Senior Investors Cybersecurity  

FINRA360 Comment Period Deadline

The ability of small and large businesses to raise capital efficiently is critical to job creation and economic growth. Broker-dealers play a vital role in helping businesses raise capital through the securities markets, and as a self-regulatory organization (SRO) for broker-dealers, FINRA has a variety of rules, operations and administrative processes that address their capital-raising … Continue reading FINRA360 Comment Period Deadline

Entitlement Password Requirements

FINRA has updated its password requirements for users of systems that participate in FINRA's Entitlement Program. No immediate action is required at this time by users as existing passwords will remain valid; however, any password changed or created on or after July 29, 2017, must adhere to the updated password requirements

Military Spouses Receive Fellowships

The FINRA Investor Education Foundation has awarded fellowships to 50 military spouses seeking to earn their AFC® (Accredited Financial Counselor®) designation to provide military service members and their families one-on-one and group financial counseling and education. Through the 2017 Military Spouse Fellowship Program, Fellows undergo rigorous training, coursework and experiential hours to gain hands-on experience … Continue reading Military Spouses Receive Fellowships

FINRA Annual Meeting of Firms

FINRA Washington, D.C. 1735 K Street, NW, Washington, D.C.

FINRA will conduct its annual meeting of firms on Tuesday, August 22, 2017, at 10 a.m. Eastern Time in the FINRA Visitors Center, 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm and one large firm seat on the FINRA Board of Governors … Continue reading FINRA Annual Meeting of Firms

FINRA 2018 Renewal Program – Preliminary Statement Filings

Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not appear on the firm’s Preliminary Statement. The only allowed date for post-dated filings is December 31, 2017.

FINRA 2018 Preliminary Statements Available

Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not appear on the firm’s Preliminary Statement. The only allowed date for post-dated filings is December 31, 2017. Preliminary Statements are available in E-Bill.  

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

Customer Margin Balance Due

FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts.

Deadline for Comments on Regulatory Notice 17-33 – Code of Arbitration

FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest. When respondents are no longer in business, recovery of arbitration awards against them often is unavailing. Accordingly, FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes (Code) to expand a customer’s options … Continue reading Deadline for Comments on Regulatory Notice 17-33 – Code of Arbitration

Deadline for Comments on Regulatory Notice 17-34 – Arbitration Procedures

FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest. The FINRA Codes of Arbitration and Mediation Procedure permit compensated non-attorneys to represent clients in securities arbitration and mediation subject to certain exceptions. FINRA is conducting a review of the efficacy of continuing to allow such … Continue reading Deadline for Comments on Regulatory Notice 17-34 – Arbitration Procedures

Annual FCS Reporting for 2018

FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic … Continue reading Annual FCS Reporting for 2018

Annual Attestation for Research Supervisory Procedures NASD Rule 2711(i)

NASD Rule 2711(i) requires that a senior officer of the broker-dealer attest annually to FINRA electronically through the firm Gateway that the broker-dealer has adopted and implemented written supervisory procedures that are reasonably designed to achieve compliance with the rule's provisions and that the compensation of all research analysts was reviewed and approved and the … Continue reading Annual Attestation for Research Supervisory Procedures NASD Rule 2711(i)

FINRA AML Half-Day Seminar

Costa Mesa Marriot 500 Anton Blvd., Costa Mesa, CA, United States

FINRA’s AML Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems. The seminars are … Continue reading FINRA AML Half-Day Seminar

FINRA Registration and Disclosure Boot Camp

FINRA 9509 Key West Avenue, Rockville, MD, United States

The FINRA Registration and Disclosure Boot Camp is beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training will offer practical and comprehensive training on disciplinary events and hot topics in the RAD Department. This training session is intended … Continue reading FINRA Registration and Disclosure Boot Camp

FINRA Registration and Disclosure Boot Camp

FINRA 9509 Key West Avenue, Rockville, MD, United States

The FINRA Registration and Disclosure Boot Camp is beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training will offer practical and comprehensive training on disciplinary events and hot topics in the RAD Department. This training session is intended … Continue reading FINRA Registration and Disclosure Boot Camp

FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education

FINRA requests comment from member firms and other interested parties on enhancements to the Securities Industry Continuing Education Program (CE Program) under consideration by the Securities Industry/Regulatory Council on Continuing Education (CE Council). These enhancements include the transition of the Regulatory Element program to a more focused and shorter learning requirement administered annually. The CE … Continue reading FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education

FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton

Boca Raton Marriot 5150 Town Center Circle, Boca Raton, Florida, United States

FINRA’s Anti-Money Laundering (AML) Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems. The … Continue reading FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton

FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website

FINRA requests comment on a proposal to expand the summary firm data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website by (1) publishing on a one-month delayed basis new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an alternative trading system (ATS); (2) publishing aggregate non-ATS … Continue reading FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website

FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”)

FINRA released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers. FINRA highlights five areas where industry participants have most prominently leveraged RegTech innovations: surveillance and monitoring, customer identification and antimoney laundering compliance, regulatory intelligence, reporting and risk management and … Continue reading FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”)

FINRA Options Industry Regulatory Conference

During the meeting, FINRA surveillance and examination staff will discuss regulatory priorities and recent findings. To register, please click on the link below and follow the detailed instructions. You will have a choice of attending in person or telephonically; you must register to obtain a dial in phone number.    

FINRA New York Region Member Forum

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

The New York Region Member Forum is a half-day event designed to provide financial professionals associated with FINRA member firms in the New York Region the opportunity to engage in key discussions with FINRA New York Regional staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape … Continue reading FINRA New York Region Member Forum

FINRA Special Election – National Adjudicatory Council

FINRA is conducting a Special Election to fill a Small Firm Vacancy on the National Adjudicatory Council. Petitions for candidacy are due December 13, 2018. Any eligible individual who obtains the requisite number of valid petitions may be included as a candidate on the ballot by following the petition procedures set forth in FINRA Regulation's … Continue reading FINRA Special Election – National Adjudicatory Council

FINRA Renewal Program – Final Statement 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 through E-Bill. • Final Statements are available for viewing and printing through E-Bill.

FINRA Renewal Program – Final Statement Payment Deadline

DEADLINE for receipt of Final Statement payments. Firms with sufficient monies in their Flex- Funding Account will have funds automatically transferred to their Renewal Account to cover total renewal fees owed. Transfers will be conducted every day until any outstanding renewal assessment is satisfied.  

FINRA Board of Governors Meeting – February/March 2019

FINRA’s Board of Governors met on Feb. 28 and March 1 in Boca Raton, Florida, where it discussed the organization’s finances, reviewed several significant technology and other capital initiatives, and considered two rulemaking items (described below). The Board also met with staff from FINRA’s Boca Raton District Office, home of the FINRA Securities Helpline for Seniors and … Continue reading FINRA Board of Governors Meeting – February/March 2019

FINRA Podcast – Member Relations & Education: Making Regulation Smarter

As a self-regulatory organization, FINRA is uniquely positioned to gain meaningful insights from its members to help ensure FINRA’s regulatory programs are working for everyone. Tasked with maintaining that relationship and keeping an open dialogue is FINRA’s Office of Member Relations and Education. The Member Relations and Education team routinely engages with firms through conferences, … Continue reading FINRA Podcast – Member Relations & Education: Making Regulation Smarter

Form OBS Quarterly filing due for Q1 2019 ( March 31, 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)

FINRA Small Firms Conference

Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CA

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules

2022 FINRA Annual Conference

Marriot Marquis, Washington D.C. 901 Massachusetts Avenue, NW, Washington, DC, United States

The Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

2023 FINRA Annual Conference

Marriot Marquis, Washington D.C. 901 Massachusetts Avenue, NW, Washington, DC, United States

The Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

2024 FINRA Annual Conference

Washington, D.C. Washington, DC, United States

The Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers a broad range of topics including regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.

Copyright© 2024 The LeGaye Law Firm P.C.