Information Notice 7/10/14 Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session Effective: September 8, 2014 Executive Summary FINRA is enhancing the process for candidates with limited English proficiency (LEP) to receive additional time to complete a qualification examination or Regulatory … Continue reading FINRA Information Notice: Revised Process for Candidates Whose Primary Language Is Not English→
www.sifma.org/blastemails/societies/ias/ias-auditreportseminar_tev1.html Writing an audit report that communicates the right message to stakeholders and management is always a challenge. This course will provide the key strategies and secrets to write an effective audit report that gets results.
www.sifma.org/blastemails/societies/ias/iasbusinesscontinuity090914_tev1.html The Internal Auditors Society will have an IT Audit Directors Roundtable on September 9, 2014 focused on Business Continuity: Challenges in a Changing Regulatory Environment. Join Nazir Vellani and Luke Miller of Ernst & Young to hear more.
Regulatory Notice 14-21 Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015 Executive Summary The Securities and Exchange Commission (SEC) has approved amendments to FINRA rules governing the reporting of (i) over-the-counter (OTC) transactions in equity securities to … Continue reading SEC Approves Amendments to Equity Trade Reporting and OATS Rules→
Election Notice 8/1/14 Petitions for Candidacy Due: September 15, 2014 Executive Summary The purpose of this Election Notice is to announce the nomination process to fill two vacancies on the National Adjudicatory Council (NAC) to be filled by one Large Firm NAC Member and one Small Firm NAC Member. FINRA’s Nominating and Governance Committee nominated … Continue reading FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council→
With new leadership at the U.S. derivatives regulators in place, overseas derivatives reforms starting to take shape and swap markets in transformation, now is the right time to take stock and assess the state of the global derivatives markets. The SIFMA Asset Management Derivatives Conference is the premier buy-side focused derivatives event for the latest … Continue reading SIFMA AMG Derivatives Conference→
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html
2014 Foundations of Web CRD/IARD Schedule & How to Register There are three ways to register: online, fax, or mail. Online registration is for credit card transactions only. Dates Fee Location September 22 – 23 8 a.m. – 5 p.m., ET, both days Full Waitlist Available $500* FINRA 9509 Key West Ave. Rockville, MD 20850 * Payment is … Continue reading FINRA Foundations of Web CRD/IARD Training→
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)→
Regulatory Notice 14-21 Effective Dates: OATS: April 7, 2014; ORF: September 15, 2014; ADF and TRFs: (millisecond reporting): September 29, 2014; ADF and TRFs (remaining amendments): First Quarter 2015 Executive Summary The Securities and Exchange Commission (SEC) has approved amendments to FINRA rules governing the reporting of (i) over-the-counter (OTC) transactions in equity securities to … Continue reading SEC Approves Amendments to Equity Trade Reporting and OATS Rules→
Regulatory Notice 14-20 Implementation Date: October 1, 2014 Executive Summary Starting on October 1, 2014, firms must select revised and new product and problem codes when: (1) reporting information regarding written customer complaints alleging theft or misappropriation of funds or securities, or forgery; (2) reporting quarterly statistical and summary information regarding written customer complaints; and … Continue reading FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online→
Where is the SILA 2014 National Education Conference? Disneyland® Hotel Anaheim, California When is the SILA 2014 National Education Conference? October 5-8, 2014 Attend SILA's annual conference to participate and learn about hot topics affecting insurance and securities licensing professionals. Following are securities related sessions on the agenda for the 2014 conference.
