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July 2015

Military Consumer Protection Day 2015

July 15, 2015

Securities and Exchange Commission Chair Mary Jo White is leading a  multi-agency event to support Military Consumer Protection Day 2015, highlighting how service members can best protect themselves and their finances from fraud and identity theft.  Other federal agencies participating include the  the U.S. Postal Inspection Service, the Department of Justice’s Service Members and Veterans Initiative, the U.S. Attorneys' Housing and Civil Enforcement Section of the Fair Housing Program, the FBI’s Securities Fraud Program and the U.S. Secret Service.  …

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October 2015

SIFMA’s Senior Investors Forum

October 13, 2015
SIFMA Conference Center New York City, NY United States + Google Map

SIFMA’s Senior Investors Forum: Serving the Needs of Our Aging Investors brings together advisors, regulators, compliance officers, attorneys and academic experts to discuss the innovative practices in place to ensure our aging clients are properly protected against those seeking to part them from their hard-earned savings and rob them of their retirement security. Currently, Americans over the age of 50 account for 77% of financial assets in the United States, and more than half utilize financial advisors.  With the senior…

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SIFMA Global Tax Reporting Symposium

October 14, 2015 - October 15, 2015
SIFMA Conference Center New York City, NY United States + Google Map

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 tax compliance regimes: FATCA: Foreign Account Tax Compliance Act CRS: OECD Common Reporting Standard Section 871(m) of the Internal Revenue Code The symposium will explore the impact of these regimes on firms and provide an opportunity to share industry best practices in relation to withholding, reporting, client identification and remediation,…

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November 2015

SIFMA Annual Meeting 2015

November 10, 2015
The Ritz Carlton, 1150 22nd Street, N.W.
Washington, District of Columbia, DC 20037 United States
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Leaders of the financial services industry will gather in the nation’s capital at the 2015 SIFMA Annual Meeting: The Capital Markets Conference to discuss  challenges and the ways the industry can continue to drive capital formation, job creation and economic growth. Click here for registration information.  

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June 2016

National Adjudicatory Council Changes

June 13, 2016

SR-FINRA-2016-014 Rule change to amend the By-Laws of FINRA’s regulatory subsidiary, FINRA Regulation, Inc., to expand the size of the National Adjudicatory Council (“NAC”) to 15 members, with the number of non-industry members exceeding the number of industry members; lengthen the terms of office of future NAC members to four years; and update the process used for sending and counting ballots in the event of a contested nomination and election to fill certain NAC industry member seats.

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FINRA Announces CEO Transition

June 13, 2016

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 name a new Chairman in the coming months. Mr. Cook will join FINRA from Cleary Gottlieb Steen & Hamilton LLP, where he has served as…

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August 2016

Petition for Candidacy – FINRA Board of Governors

August 5, 2016

The annual meeting of FINRA firms will take place on or about Monday, September 19, 2016, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 19, 2016. Petitions for candidacy are due August 5, 2016. Eligible individuals who have not been nominated for election to the FINRA…

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September 2016

FINRA Board of Governors Election

September 19, 2016

The annual meeting of FINRA firms will take place on or about Monday, September 19, 2016, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 19, 2016. Petitions for candidacy are due August 5, 2016. Eligible individuals who have not been nominated for election to the FINRA…

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April 2017

FINRA Updates the Transparency Services Participant Agreement

April 3, 2017

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 Agreement (FPA) and documentation include: TRACE (Corporate and Agency; Securitized Products; and Treasuries) OTC Reporting Facility (ORF) Alternative Display Facility (ADF)   Questions regarding this…

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SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules

April 14, 2017

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 set. CABs are firms that engage in a limited range of activities, essentially advising companies and private equity funds on capital raising and corporate restructuring, and acting as placement agents for sales of unregistered securities to institutional investors under limited conditions. Firms that elect to be governed under the CAB…

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June 2017

SEC Code of Arbitration Comment Period

June 5, 2017

The SEC requests comment on FINRA's proposal to amend FINRA Rules 12402 and 12403 of the Code of Arbitration Procedure for Customer Disputes and FINRA Rule 13403 of the Code of Arbitration Procedure for Industry Disputes to provide that the Director of FINRA's Office of Dispute Resolution will send the list or lists generated by the Neutral List Selection System to all parties at the same time, within approximately 30 days after the last answer is due, regardless of the…

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SEC Comment Period for FINRA Rule 7730

June 12, 2017

The SEC requests comment on FINRA's proposal to amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to reduce the delay period applicable to the Historic Corporate Bond Data Set, the Historic Agency Data Set, and Rule 144A transactions in corresponding securities from 18 months to six months. The comment period expires June 12, 2017. See the Federal Register notice.

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FINRA Reviews Outside Business Activities and Private Securities Transactions

June 29, 2017

The review centers on rules governing broker-dealer employees’ business and securities activities carried out away from their firm – activities that are outside the regular course or scope of their employment with the firm. These rules were designed to protect investors from potentially problematic or risky activities that are unknown to the firm but could be perceived by the investing public as either part of the firm’s business or having the firm’s imprimatur. In addition, the rules protect firms from…

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July 2017

FINRA360 Comment Period Deadline

July 14, 2017

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 activities. FINRA recently announced a new initiative—called FINRA360—to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission.…

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FINRA Rule 5110 Comment Period Deadline

July 14, 2017

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 member firm or person associated with a member firm may participate in a public offering for which the terms and conditions, including the aggregate amount…

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FINRA Rule 2241 & 2242 Comment Period Deadline

July 14, 2017

) 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 rise to the level of a research report (desk commentary). The proposed safe harbor would be subject to conditions, including compliance with a number…

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FINRA Extends Comment Period for Capital Financing Notices

July 14, 2017

In response to requests for an extension, FINRA has extended the comment period for Regulatory Notices 17-14, 17-15 and 17-16 to July 14, 2017. In addition, FINRA updated Attachments A and B related to Regulatory Notice 17-15 to make a technical correction to subsection (g) of the rule text.  

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August 2017

Military Spouses Receive Fellowships

August 11, 2017

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 – all at no cost to them. After completion of the program, Fellows are certified to support the military community as financial counselors at family…

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FINRA Annual Meeting of Firms

August 22, 2017 @ 10:00 am - 12:00 pm
FINRA Washington, D.C., 1735 K Street, NW
Washington, D.C., 20006
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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 (FINRA Board). It is important that all eligible large and small firms be represented by proxy or in person at the Annual Meeting. Firms are…

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March 2018

FINRA Foundation Seeks Applicants for Military Spouse Fellowship

March 1, 2018

The FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2018 class of financial Fellows — a unique program designed to increase the financial capability of U.S. service members and their families. The national program offers military spouses the opportunity to earn a career-enhancing credential — the AFC® (Accredited Financial Counselor®) — while providing financial counseling and education to the military community. Applications must be received no later than midnight, EDT, April 20, 2018. The program is…

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FINRA Board of Governors Reviews Goals

March 7, 2018 - March 8, 2018
FINRA Board, 1735 K Street NW
Washington DC, DC United States
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The FINRA Board of Governors will meet for the first time in 2018. In keeping with their usual practice for the first meeting of the year, the Board will review FINRA’s annual corporate goals. The Board will also receive an update on FINRA360, the organizational improvement initiative that kicked off last year. In addition, during the two-day meeting, the Board is scheduled to meet with the SEC’s Director of Trading and Markets, Brett Redfearn. Highlighted below are some of the…

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SEC Request for Comment: Code of Arbitration Procedures

March 9, 2018

The SEC published a proposed rule change to amend FINRA Rules 12600 and 12800 of the Code of Arbitration Procedure for Customer Disputes (''Customer Code'') and 13600 and 13800 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code," and together with the Customer Code, the ''Codes''), to amend the hearing provisions to provide an additional hearing option for parties in arbitration with claims of $50,000 or less, excluding interest and expenses. Comments are due by March 9, 2018. See the…

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April 2018

Global Finance Forum

April 19, 2018
Ritz-Carlton, West-End
Washington, D.C., United States
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The 2nd annual Global Finance Forum is hosted by the American Investment Council (AIC), Futures Industry Association (FIA), Investment Company Institute (ICI), Managed Funds Association (MFA), Securities Industry and Financial Markets Association (SIFMA), and the U.S. Chamber of Commerce Center for Capital Market Competitiveness. In conjunction with IMF-World Bank spring meetings, the second annual Global Finance Forum will feature remarks and armchair chats with leading U.S. and European policymakers. The two-hour event will highlight a range of timely global economic…

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FINRA Foundation Seeks Applicants for Military Spouse Fellowship

April 20, 2018

The FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2018 class of financial Fellows — a unique program designed to increase the financial capability of U.S. service members and their families. The national program offers military spouses the opportunity to earn a career-enhancing credential — the AFC® (Accredited Financial Counselor®) — while providing financial counseling and education to the military community. Applications must be received no later than midnight, EDT, April 20, 2018. The program is…

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October 2018

SIFMA Annual Meeting

October 1, 2018 - October 2, 2018
Mandarin Oriental, 1330 Maryland Avenue SW
Washington, D.C., DC 20024 United States
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Each fall, SIFMA’s Annual Meeting gathers in Washington, D.C. for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Mark your calendar to join us on October 1-2, 2018 at the Mandarin Oriental, Washington DC for expert insights and unparalleled networking with the foremost policymakers, regulators and financial market experts.

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December 2018

FINRA Special Election – National Adjudicatory Council

December 13, 2018

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 By-Laws and Election Notice 10/29/18.

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