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
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 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 – Buffalo, New York
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 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)
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 … Continue reading FINRA District Compliance Meeting – Ft. Lauderdale, Florida
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 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
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)
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
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 York
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 – Minneapolis
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 – San Antonio
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)
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
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 … Continue reading FINRA Compliance Boot Camp – Washington D.C.
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2016)
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 – Jericho, New York
Firms are required to file Form Custody pursuant to SEA Rule 17a-5(a)(5).
The Supplemental Inventory Schedule (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)
MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual … Continue reading MSRB Rule A•14 (Annual Fee)
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 … Continue reading 2016 FINRA Small Firm Conference
FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) becomes effective November 11, 2016. The rule establishes an obligation to deliver an educational communication in connection with … Continue reading Effective Date – FINRA Rule 2273
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. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
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
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2016)
Annual Verification Due As a reminder, Rule 4517 requires firms to complete an annual verification of their FCS contact information within the first 17 business days of each calendar year. … Continue reading FINRA Contact System Due Date
MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 … Continue reading MSRB Update of Primary Contact Information (MSRB G-40)
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 … Continue reading MSRB Rule G-37 Quarterly 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)
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)
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
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 … Continue reading FINRA Updates the Transparency Services Participant Agreement
The Securities and Exchange Commission (SEC) approved FINRA’s rule set for firms that meet the definition of “capital acquisition broker” (CAB) and that elect to be governed under this rule … Continue reading SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
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)
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)
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 FINRA District 6 Dallas – District Compliance Events
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 5 New Orleans – District Compliance Events
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
The updated Financial Industry Regulatory Authority (“FINRA”) Private Placement Filer Form required by member firms to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities … Continue reading Effective Date for Use of Updated FINRA Private Placement Filer Form
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)
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)
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 FINRA District 7 Atlanta – District Compliance Events
FINRA's 2017 Risk Control Assessment (RCA) survey has been launched. Each firm's executive representative and designated assistant should have received an email linking to their firm's unique RCA survey. The … Continue reading 2017 FINRA Risk Control Assessment ( RCA)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA … Continue reading District Compliance Meeting – District 8 (Madison WI)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Tarrytown, NY – District 9b ( Woodbridge)
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
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting – Columbus, OH – District 8 (Chicago)
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 … Continue reading District 7- Boca Raton, Florida – Compliance Boot Camp
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Rochester NY – District 9b (Woodbridge)
Designed for compliance and legal professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more … Continue reading FINRA District Compliance Meeting: New York, NY – District 10 (New York)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Louisville, KY – District 8 ( Chicago)
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 Activities Review
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and update Firm Element Continuing Education Plan
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
Registration for the 2017 National Compliance Outreach Programs for Broker-Dealers, which is hosted by FINRA and the SEC, is now open. This program provides a forum for regulators and industry … Continue reading 2017 National Compliance Outreach Program for Broker-Dealers
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 Activities Review
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 … Continue reading Entitlement Password Requirements
Members of SIPC are required to pay their assessment on SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to … Continue reading SIPC Assessments – SIPC 6 (Semi-Annual Filing)
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 Quarterly Reporting Deadline
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 "pay-to-play" Rules 2030 (Engaging in Distribution and Solicitation Activities with Government Entities) and 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities) were established to regulate the … Continue reading FINRA Pay-to-Play Rules Become Effective
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 Activities Review
Effective August 28, 2017, FINRA will make several changes to the TRACE New Issue Form, TRACE Order Form and FINRA Participation Agreement. On that date, the name of the TRACE … Continue reading FINRA Transparency Services Forms Updates
The SEC adopted an amendment to shorten the standard settlement cycle for most broker-dealer securities transactions by one business day ("T+2"). Currently, the standard settlement cycle for these transactions is … Continue reading Compliance Date for T+2 Settlement Cycle for Securities Transactions
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
Change is coming for investment adviser compliance professionals. Substantial Form ADV changes come with an October deadline and the knowledge that the new data collected will assist the Commission in … Continue reading Commitment to Compliance Conference
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 Activities Review
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and update Firm Element Continuing Education Plan
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
FINRA's Advertising Regulation Conference provides a forum to hear about practical guidance on complying with advertising rules and new developments involving the communications rules, and the opportunity to gain guidance … Continue reading FINRA 2017 Advertising Regulation Conference
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 Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.
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 Activities Review
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 Quarterly Reporting Deadline
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 … Continue reading FINRA 2018 Renewal Program
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 … Continue reading 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 … Continue reading FINRA 2018 Preliminary Statements Available
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 Activities Review
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 must receive full payment of the Preliminary Statement fees by December 18, 2017. If payment is not received by December 18, 2017, FINRA-registered firms will be assessed a Renewal … Continue reading Full payment of FINRA Preliminary Statement Due
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 Activities Review
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and update Firm Element Continuing Education Plan