FINRA's 2016 Risk Control Assessment (RCA) survey launched earlier this month, when each firm's executive representative was sent an email linking to their firm's unique RCA survey. The RCA is an integral part of FINRA's risk-based examination and surveillance program. FINRA uses it to better understand the risks associated with the business activities in which … Continue reading FINRA 2016 Risk Control Assessment Due
Compliance
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FINRA assesses an annual support fee to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB”). The fee is assessed on a quarterly basis and is based on member firm’s municipal securities trading volume for the prior quarter. |
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The SEC requests comment on FINRA's proposal to amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings) and 2214 (Requirements for the Use of Investment Analysis Tools). In furtherance of the recommendations arising from FINRA's retrospective review of its communications with the public rules, the … Continue reading SEC Requests Comments on Communications Rules |
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FINRA Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance … Continue reading FINRA Compliance Boot Camp-Stamford, CT
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Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals … Continue reading FINRA Compliance Boot Camp – Chicago
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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. |
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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. |
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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 |
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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 Rule G-37 Reporting Requirement 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 (FINRA Rule 3270) The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report |
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