The LeGaye Law Firm wants to remind you that all registered broker-dealers, investment advisers and agents registered in the State of Tennessee should be receiving their annual Professional Privilege Tax … Continue reading Tennessee Professional Privilege Tax Invoices→
Read Chairman and CEO Rick Ketchum's testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services.
Half-day compliance boot camps are local educational programs that focus on basic regulatory requirements and compliance responsibilities. Through a combination of classroom training and case studies, compliance professionals who are … Continue reading FINRA Boot Camp: Supervision and AML Compliance→
FINRA plans to administer this year's RCA in the May/June timeframe—and will announce the specific date in the Weekly Update email. The RCA is an important part of FINRA's risk-based … Continue reading 2015 Risk Control Assessment (RCA) Survey→
Atlanta District Office
One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United States
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 … Continue reading FINRA Boot Camp: Suitability & Managing Conflicts→
The Westin Lombard Yorktown Center Lilac Meeting Room
70 Yorktown Shopping Center, Lombard, IL, 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 … Continue reading District 8 Chicago – District Compliance Event→
Join industry and regulatory leaders in Chicago on June 17-19 for the latest economic developments as well as important updates on accounting, tax rules and proposals, and regulations. New to … Continue reading 2015 SIFMA FMS Regional Conference→
Westin Galleria
5060 West Alabama, Houston, TX, United States
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 … Continue reading FINRA Boot Camp: Supervision and Branch Office Inspections→
Only a few weeks remain for you to enroll in the initial course of the FINRA Institute at Wharton Certified Regulatory and Compliance ProfessionalTM (CRCPTM) program. Week I: Foundation takes … Continue reading FINRA Institute at Wharton CRCP Program Week I→
The SEC requested comments on a proposal to amend FINRA Rule Series 9100, 9200, 9300, 9550 and 9800 to (1) modify the evidentiary standard that must be met to impose a temporary cease and desist order; (2) adopt a new expedited proceeding for repeated failures to comply with temporary or permanent cease and desist orders; (3) ease administrative burdens in temporary cease and desist proceedings; (4) harmonize the provisions governing how documents are served in temporary cease and desist proceedings and expedited proceedings; (5) clarify the process for issuing permanent cease and desist orders; and (6) make conforming changes throughout FINRA's Code of Procedure.
The SEC requested public comment on a proposal to amend FINRA Rule 2210 (Communications with the Public) to require a readily apparent reference and hyperlink to BrokerCheck® on: (1) the initial webpage that the member intends to be viewed by retail investors; and (2) any other webpage that includes a professional profile of one or more registered persons who conduct business with retail investors. These requirements would not apply to a member that does not provide products or services to retail investors, or to a directory or list of registered persons limited to names and contact information.
The SEC requested comments on a proposal to amend NASD Rule 1032(f) (Limited Representative-Equity Trader) to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57). In addition, the proposal amends NASD Rule 1022(a) (General Securities Principal) to establish a Securities Trader Principal registration category. The proposal also makes technical conforming changes to the Form U4 (Uniform Application for Securities Industry Registration or Transfer).
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 … Continue reading Outside Business Activity Review (NASD Rule 3050)→
FINRA Boca Raton District Office
5200 Town Center Circle Suite 200, Boca Raton, FL, United States
FINRA Half-day Compliance Boot Camp focuses 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 who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
Rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to establish an administration and delivery fee for the new Municipal Advisor Representative Examination (“Series 50 examination”). … Continue reading FINRA Rule Start Date: Series 50 Exam Fee→
Gaylord National Harbor Resort & Convention Center
201 Waterfront Street, National Harbor, MD, United States
September 22, 2015 is the last day to register for the National Society of Compliance Professional's Annual National Conference. Click here to register and get more information.
Union Square Conference Center
Suite 5121/5122 601 Union Street, 51st Floor , Seattle, WA, United States
FINRA Half-day Compliance Boot Camp focuses 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 who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
FINRA New York District Office
Brookfield Place 200 Liberty Street, New York, United States
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 … Continue reading FINRA Half-Day Compliance Boot Camp: New York→
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 … Continue reading Outside Business Activity Review (NASD Rule 3050)→
The Municipal Securities Rulemaking Board (MSRB) announced in Regulatory Notice 2015-13 that it will be raising the fees assessed to its registrants (brokers, dealers, and municipal securities dealers (collectively "dealers") and municipal advisors (collectively "regulated entities"), effective October 1, 2015.
SIFMA Conference Center
New York City, NY, United States
The SIFMA Global Tax Reporting Symposium, providing in-depth perspective on financial services reporting and withholding in today’s global marketplace, will bring together industry and government experts to discuss three evolving … Continue reading SIFMA Global Tax Reporting Symposium→
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 … Continue reading Outside Business Activity Review (NASD Rule 3050)→
Gaylord National Harbor Resort & Convention Center
201 Waterfront Street, National Harbor, MD, United States
You are invited to attend the NSCP's annual National Conference for the most comprehensive educational offering within the financial services industry covering over 80 topics, encompassing broker-dealer, investment adviser, investment … Continue reading NSCP: National Society of Compliance Professionals→
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.
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 she has provided prior written notice to the member firm. Registered persons may not engage in the activity until they receive written permission from the member firm. The firm should complete the review of the outside business activities of all associated persons for each month.
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.
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.
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 … Continue reading Automatic Transfers to Renewal Accounts→
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 … Continue reading Outside Business Activity Review (NASD Rule 3050)→
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 … Continue reading Quarterly GASB Accounting Support Fee→
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 … Continue reading Automatic Transfers→
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
FINRA has extended the implementation date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) from February 22, 2016, to April 22, 2016. See Regulatory Notice 15-31. FINRA … Continue reading FINRA Rule 2242: New Implementation Date→
The Wharton School of the University of Pennsylvania.
University of Pennsylvania, Philadelphia, PA, United States
The Securities Industry Institute, SIFMA’s premier executive education program held in partnership with The Wharton School, is being offered March 6 – 11, 2016.
The program provides access to world-class faculty from Wharton and other leading universities and exposure from industry experts in the latest trends in the industry, prepares you for the uncertain shifts in the market, provides networking opportunities that enable you to build your network, business and perspective, and you will receive a SIFMA/Wharton Certificate upon graduation.
Registration is now open for the SIFMA 2016 Compliance & Legal Society Annual Seminar on March 13–16 at the Hilton Orlando Bonnet Creek. Compliance and legal professionals participate in SIFMA's our interactive program with more than 65 dynamic panels and sessions that focus on the current regulatory and legal developments impacting the industry.
FINRA San Francisco district office
120 Kearney Street, Suite 2100, San Francisco
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 … Continue reading FINRA Compliance Boot Camp→
The Crescent Club
6075 Poplar Ave., Suite 909, Memphis, TN, United States
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 … 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.
FINRA Philadelphia District Office
Doubletree Hilton Hotel & Suites Pittsburgh 1 Bigelow Square, Pittsburgh, PA, United States
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 … Continue reading FINRA Compliance Boot Camps→
The Pfister Hotel
424 E. Wisconsin Ave., Milwaukee, WI, United States
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 … Continue reading FINRA Boot Camp→
The Federal Reserve Bank of Boston
600 Atlantic Ave., 4th Floor, Boston, MA , MA, United States
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 … Continue reading FINRA Boot Camp→
FINRA Dallas District Office
12801 North Central Expressway, Suite 1050, Dallas, TX, United States
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 … Continue reading FINRA Boot Camp→
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)→
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
The accounting details on your firm's Flex-Funding and Renewals accounts, which were previously only available in Web CRD, are now available in E-Bill along with enhanced capabilities for accessing that … Continue reading CRD Accounting Pages to be retired→
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 … Continue reading FINRA 2016 Risk Control Assessment Due→
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 … Continue reading Quarterly GASB Accounting Support Fee→
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 … Continue reading SEC Requests Comments on Communications Rules→
Stamford Marriot Hotel
243 Tresser Blvd., Stamford, CT, United States
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 … Continue reading FINRA Compliance Boot Camp-Stamford, CT→
FINRA Chicago District Office
55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, United States
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 … Continue reading FINRA Compliance Boot Camp – Chicago→
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 … Continue reading FINRA District Compliance Meeting – Dallas, Texas→
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
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report
Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS
reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital
requirement of less than $100,000; or (2) inventory positions consisting only of money
market mutual funds.6 A firm with inventory positions consisting only of money market
mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
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 … 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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)→
Hilton Del Mar
15575 Jimmy Durante Blvd., Del Mar, CA, United States
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 … Continue reading FINRA Compliance Boot Camp – San Diego→
FINRA New Jersey District Office
581 Main Street - 7th Floor, Woodbridge, NJ, United States
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 … Continue reading FINRA Compliance Boot Camp-New Jersey→
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
FINRA Kansas City District Office
12 Wyandotte Plaza , Kansas City, MO
Half-Day FINRA 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 … Continue reading FINRA Compliance Boot Camp- Kansas City→
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report
Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS
reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital
requirement of less than $100,000; or (2) inventory positions consisting only of money
market mutual funds.6 A firm with inventory positions consisting only of money market
mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
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 … Continue reading Outside Business Activity Review (FINRA Rule 3270)→
Atlanta District Office
One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United States
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 … Continue reading FINRA Compliance Boot Camp – Atlanta→