Web CRD/IARD Available
Web CRD and IARD are available with complete functionality as of 5 a.m., ET, including submitting form filings and approving registrations. • Overpayments are transferred to firms' Flex-Funding Account. Refund … Continue reading Web CRD/IARD Available
FINRA Releases 2015 Regulatory and Exam Priorities Letter
Five Challenges Firms Should Address Highlighted in 10th Anniversary of Letter WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2015 Regulatory and Examination Priorities letter highlighting significant … Continue reading FINRA Releases 2015 Regulatory and Exam Priorities Letter
MSRB Accepting Municipal Asset-Backed Securities Disclosures on EMMA
Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today announced that its Electronic Municipal Market Access (EMMA®) service would begin collecting and disseminating disclosures related to municipal asset-backed securities … Continue reading MSRB Accepting Municipal Asset-Backed Securities Disclosures on EMMA
MSRB 2014 Annual Report
MSRB PUBLISHES 2014 ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTSAlexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today published its 2014 Annual Report, which highlights important advances in municipal advisor regulation, enhancements to … Continue reading MSRB 2014 Annual Report
SIFMA Issues 2014 Year in Review
New York, N.Y., January 14, 2015 - SIFMA today issued our 2014 Year in Review. The report highlights the work of more than 10,000 professionals from 500 member firms who participate … Continue reading SIFMA Issues 2014 Year in Review
NASD Rule 3050 Transactions for Associated Persons
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the … Continue reading NASD Rule 3050 Transactions for Associated Persons
FINRA BD & IA Renewals for 2015 Renewal Statement deadline
Final Renewal Statements: On January 2, 2015, Final Renewal Statements and reports became available for viewing and printing in Web CRD/IARD. These statements reflect the final status of broker-dealer, registered … Continue reading FINRA BD & IA Renewals for 2015 Renewal Statement deadline
Automatic Transfers: Ebill System in CRD
Firms with sufficient monies in their Flex-Funding Account will have funds transferred to their Renewal Account to cover total renewal fees owed. Transfers will be conducted every day until any … Continue reading Automatic Transfers: Ebill System in CRD
SIFMA Statement on the State of the Union Address
Washington, D.C., January 20, 2015 - SIFMA today released the following statements from Kenneth E. Bentsen, Jr., president and CEO, on President Obama’s State of the Union address: Cybersecurity: “SIFMA … Continue reading SIFMA Statement on the State of the Union Address
MSRB Quarterly Board Meeting
Alexandria, VA – The Board of Directors of the Municipal Securities Rulemaking Board (MSRB) held its quarterly meeting January 28-29, 2015, where it reached another milestone in its development of a … Continue reading MSRB Quarterly Board Meeting
Proposed Rule Change to Amend FINRA Rule 6433: Effective Immediately
Description Proposed rule change to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) to extend the Tier Size Pilot, which currently is scheduled to expire on … Continue reading Proposed Rule Change to Amend FINRA Rule 6433: Effective Immediately
SIFMA Issues Quarterly Government Securities Issuance and Rates Forecast for 1Q 2015
New York, NY, January 29, 2015 - SIFMA today issued its quarterly government securities issuance and rates forecast for the first quarter of 2015. The full report is available at … Continue reading SIFMA Issues Quarterly Government Securities Issuance and Rates Forecast for 1Q 2015
MSRB Bank Loan Disclosure Market Advisory
www.msrb.org/Rules-and-Interpretations/Regulatory-Notices.aspx
FINRA Investor Education Foundation & the American Library Association Announce $1.8 million in Grants to Public Libraries to Support Financial Literacy
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1.8 million in grants to 21 recipients as part of the … Continue reading FINRA Investor Education Foundation & the American Library Association Announce $1.8 million in Grants to Public Libraries to Support Financial Literacy
SIFMA and the SIFMA Foundation Kick-Off the 12th Annual Stock Market Game™-Capitol Hill Challenge
Students from High Schools and Middle Schools from all 50 States Participate in the SIFMA Foundation Competition to Promote Financial Capability and Expose Students to Fiscal Policymaking Washington, DC, February … Continue reading SIFMA and the SIFMA Foundation Kick-Off the 12th Annual Stock Market Game™-Capitol Hill Challenge
Industry Supports Total Loss Absorbency Requirement to Help Ensure G-SIBs Can Be Resolved in an Orderly Manner without Taxpayer Assistance
Industry's empirical analysis shows FSB's TLAC calibration is higher than needed New York, NY - Today, The Clearing House (TCH), the Securities Industry and Financial Markets Association (SIFMA), the American … Continue reading Industry Supports Total Loss Absorbency Requirement to Help Ensure G-SIBs Can Be Resolved in an Orderly Manner without Taxpayer Assistance
FINRA Issues Report on Cybersecurities Practices
The Financial Industry Regulatory Authority (FINRA) issued a new report on cybersecurity, which details practices that firms can tailor to their business model as they strengthen their cybersecurity efforts. The … Continue reading FINRA Issues Report on Cybersecurities Practices
SEC Alerts Investors, Industry on Cybersecurity
Washington D.C., Feb. 3, 2015 — The Securities and Exchange Commission today released publications that address cybersecurity at brokerage and advisory firms and provide suggestions to investors on ways to … Continue reading SEC Alerts Investors, Industry on Cybersecurity
FINRA & SIFMA: Cybersecurity Conference
The frequency and sophistication of cybersecurity attacks are increasing, and combating these threats remains a priority for regulators and firms. That’s why FINRA and SIFMA are joining forces to host … Continue reading FINRA & SIFMA: Cybersecurity Conference
FIA & SIFMA: Asset Management Derivatives Forum 2015
FIA and SIFMA Asset Management Group are hosting a comprehensive review of the most critical derivatives issues facing the buy-side. With international regulation of the derivatives markets heating up, new … Continue reading FIA & SIFMA: Asset Management Derivatives Forum 2015
SEC: 33rd Annual Federal Securities Institute
Miami Regional Director Eric Bustillo and Fort Worth Regional Director David Woodcock will be panelists at the 33rd Annual Federal Securities Institute. Their panel will discuss SEC enforcement and private … Continue reading SEC: 33rd Annual Federal Securities Institute
SEC: Technical Amendment – Asset-Backed Securities Disclosure and Registration
www.sec.gov/news/whatsnew/wn-today.shtml
SEC: 33rd Annual Federal Securities Institute
9:10 and 10:45 a.m. Elizabeth Murphy, Associate Director, Division of Corporation Finance, will participate on two panels at the 33rd Annual Federal Securities Institute. The panel at 9:10 a.m. will … Continue reading SEC: 33rd Annual Federal Securities Institute
Rule Change to Extend Expiration Date of FINRA Rule 0180
Rule change to extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to February 11, 2016. FINRA Rule 0180 temporarily limits, with certain exceptions, the … Continue reading Rule Change to Extend Expiration Date of FINRA Rule 0180
SEC: Investor Advisory Committee Quarterly Meeting
10:00 a.m. Investor Advisory Committee Quarterly Meeting See IAC Agenda Location: SEC Headquarters, Multipurpose Room, 100 F Street, N.E., Washington, D.C. Contact: Frankie White, 202-551-4310
Annual Entitlement User Accounts Certification Process
FINRA's Annual User Accounts Certification Process is underway and will conclude February 12, 2015. During this certification period, Super Account Administrators (SAAs) for firms with more than one user must … Continue reading Annual Entitlement User Accounts Certification Process
FINRA Disciplinary Hearings Forum
SIFMA’s FINRA Disciplinary Hearings Forum is a half-day interactive program that will provide valuable insights and practice tips both for lawyers experienced in FINRA proceedings and those new to the … Continue reading FINRA Disciplinary Hearings Forum
New Rate for Fees Paid Under Section 31 of the Exchange Act
Effective February 14, 2015, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $22.10 … Continue reading New Rate for Fees Paid Under Section 31 of the Exchange Act
Presidents Day – Market Holiday
www.finra.org/AboutFINRA/HolidaySchedule/
SEC: Advisory Committee on Small and Emerging Companies
2 p.m. Advisory Committee on Small and Emerging Companies will hold a public meeting by conference telephone call. Location: Conference Call Contact: Julie Davis, acsecquery@sec.gov
MSRB Seeks Board of Directors Applicants
Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB), the self-regulatory organization that oversees the $3.6 trillion municipal securities market, is accepting applications for its Board of Directors. The Board sets … Continue reading MSRB Seeks Board of Directors Applicants
FINRA Request for Comments Deadline: OTC trades in NMS stocks
FINRA requests comment on a proposal to identify over-the-counter (OTC) trades in NMS stocks reported more than two seconds following trade execution as "out of sequence" and not last sale … Continue reading FINRA Request for Comments Deadline: OTC trades in NMS stocks
FINRA Request for Comments Deadline: Synchronization for computer clocks
FINRA is soliciting comment on a proposal to reduce the synchronization tolerance for computer clocks. The current clock synchronization requirements allow for a tolerance of one second from the National … Continue reading FINRA Request for Comments Deadline: Synchronization for computer clocks
FINRA Board of Governors February Meeting: Rulemaking Items for Discussion
FINRA Board of Governors Rulemaking Items for Discussion at the February 2015 Meeting The FINRA Board of Governors will consider the following rulemaking items at its February 2015 meeting. After … Continue reading FINRA Board of Governors February Meeting: Rulemaking Items for Discussion
SIFMA Anti-Money Laundering & Financial Crimes Conference
SIFMA's 2015 Anti-Money Laundering and Financial Crimes Conference will bring together leading experts from the industry, regulatory agencies and law enforcement to discuss new trends in financial crime; emerging issues … Continue reading SIFMA Anti-Money Laundering & Financial Crimes Conference
NSCP: Free Webinar – How to Successfully Navigate State Investment Adviser Regulations
Event status: Not started (Register) Date and time: Tuesday, February 24, 2015 3:00 pm Eastern Standard Time (New York, GMT-05:00) Change time zone Duration: 1 hour Description: Join NSCP and … Continue reading NSCP: Free Webinar – How to Successfully Navigate State Investment Adviser Regulations
SIFMA Social Media Seminar 2015
SIFMA's popular Social Media Seminar is coming back to the West Coast. Join us for this full day Seminar that brings together experts from across multiple fields to further explore … Continue reading SIFMA Social Media Seminar 2015
SIFMA Credit and Margin February Dinner
Hear from the Regulators at on a “Margin Regulation: Current State and Future Trends” panel at the February Credit & Margin Dinner. This panel will have representatives from the CBOE, … Continue reading SIFMA Credit and Margin February Dinner
SIPC Assessments (Year ending 12/31/2014) SIPC 7
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 (Year ending 12/31/2014) SIPC 7
SIFMA: Insurance and Risk Linked Securities Conference
The SIFMA Insurance- and Risk-Linked Securities Conference (IRLS 2015) will feature industry experts, sponsors and institutional investors discussing this growing and evolving market place, product design and innovation, and emerging … Continue reading SIFMA: Insurance and Risk Linked Securities Conference
SIFMA Securities Industry Institute 2015
The Securities Industry Institute® (SII) is the premier executive development program for financial services professionals. For more than 60 years, SIFMA and The Wharton School of The University of Pennsylvania … Continue reading SIFMA Securities Industry Institute 2015
FINRA Fixed Income Conference
www.finra.org/web/groups/industry/@ip/@edu/documents/education/p602223.pdf Please use the link above for more information. Fixed Income Conference March 10, 2015 New York, NY FINRA's Fixed Income Conference addresses current impacts on the fixed income markets … Continue reading FINRA Fixed Income Conference
2015 Foundations of Web CRD/IARD Training
The 2015 Foundations of Web CRD/IARD training is designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and … Continue reading 2015 Foundations of Web CRD/IARD Training
NSCP: 2015 Regional Conference – Anaheim, CA
Anaheim, CA :: March 12, 2015 :: Sheraton Park Hotel – Anaheim Resort
SIFMA Compliance & Legal Society Annual Seminar 2015
Save the date!
FINRA Diversity Summit
2015 FINRA Diversity Summit (SOLD OUT) March 18, 2015 9:00 a.m. – 4:30 p.m. New York, NY FINRA’s Diversity Summit provides a forum for diversity practitioners and business leaders from … Continue reading FINRA Diversity Summit
NSCP: 2015 Regional Conference – Atlanta, GA
Atlanta, GA :: March 24, 2015 :: Kilpatrick Townsend & Stockton LLP
Regulatory Notice: Effective Date for Changes to Qualification Examination Fees
In FINRA Notice to Members 15-08 , FINRA noted that it regularly conducts a comprehensive review of the examination fee structure, including an analysis of the costs associated with developing, … Continue reading Regulatory Notice: Effective Date for Changes to Qualification Examination Fees
Good Friday- Market Holiday
www.finra.org/AboutFINRA/HolidaySchedule
SIFMA: Private Client Conference 2015
The Westin Michigan Avenue, Chicago, IL, United StatesThe SIFMA Private Client Conference is North America's leading event designed specifically for financial professionals who service the individual investor. Register now to hear from top industry leaders on tactical … Continue reading SIFMA: Private Client Conference 2015
NSCP: 2015 Regional Conference – St. Louis, MO
DoubleTree Hotel St. Louis at Westport 1973 Craigshire, St. Louis, MO, United StatesSt. Louis, MO :: April 9, 2015 :: DoubleTree Hotel St. Louis at Westport This one day conference provides a comprehensive review and clarification on current regulatory issues for both … Continue reading NSCP: 2015 Regional Conference – St. Louis, MO
Meeting of the Securities and Exchange Commission Investor Advisory Committee
9:30 - 10:00 a.m. Welcome Remarks and Continental Breakfast 10:00 - 10:05 a.m. Approval of Minutes 10:05 - 10:20 a.m. Nomination of Candidates for Officer Positions to Become Available Upon … Continue reading Meeting of the Securities and Exchange Commission Investor Advisory Committee
FINRA Regulatory Notice 15-04 Fixed Income Price Dessimination
Executive Summary FINRA is soliciting comment on a proposal to expand dissemination of TRACE data to include additional Securitized Products, specifically, collateralized mortgage obligations (CMOs), commercial mortgage-backed securities (CMBSs) … Continue reading FINRA Regulatory Notice 15-04 Fixed Income Price Dessimination
Tennessee Professional Privilege Tax Invoices
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
NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program
In an era of heightened SEC enforcement, do you know when the SEC will hold you personally liable for employee misconduct? How do you protect yourself and how can compliance … Continue reading NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program
NSCP: 2015 Regional Conference – New York, NY
AMA Conference Center 1601 Broadway, New York, NY, United StatesNew York, NY :: April 28, 2015 :: AMA Conference Center This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals … Continue reading NSCP: 2015 Regional Conference – New York, NY
FINRA Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Chairman and CEO Rick Ketchum gave testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services. For the full text of his testimony, click here … Continue reading FINRA Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
FINRA Testimony: CEO Rick Ketchum
Read Chairman and CEO Rick Ketchum's testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services.
FINRA 2015 Risk Control Assessment (RCA) Survey
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 FINRA 2015 Risk Control Assessment (RCA) Survey
NSCP: Regional Conference – Chicago, IL
Chicago, IL :: May 7, 2015 :: Federal Reserve Bank
MSRB Publishes Updates on Annual Financial Disclosures
Alexandria, VA – The Municipal Securities Rulemaking Board (MSRB) has released an update to its 2013 report on how many days after the end of the fiscal year that issuers … Continue reading MSRB Publishes Updates on Annual Financial Disclosures
FINRA’s NAC Strengthens Sanction Guidelines for Fraudulent Conduct
On May 12, 2015, FINRA announced that the NAC revised its Sanction Guidelines to call for tougher sanctions against those who commit fraud. For the complete new release, click here.
Comment Period Ends on the Effectiveness and Efficiency of FINRA Membership Application Rules
FINRA is conducting a retrospective review of the membership application rules to assess their effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to … Continue reading Comment Period Ends on the Effectiveness and Efficiency of FINRA Membership Application Rules
Quarterly GASB Accounting Support Fee Due
FINRA Regulatory Notice 15-12 reflects that FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The … Continue reading Quarterly GASB Accounting Support Fee Due
Comment Period Ends: Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Regulatory Notice 15-06 stated that FINRA is soliciting comment on a proposal to require registration as a Securities Trader of associated persons primarily responsible for the design, development or significant … Continue reading Comment Period Ends: Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Supreme Court hands down decision in key 401(k) lawsuit
Advisers: Mind your recommended fund lineups, review plan sponsor contracts The U.S. Supreme Court made its decision on a key 401(k) lawsuit Monday, and the takeaway for retirement plan advisers … Continue reading Supreme Court hands down decision in key 401(k) lawsuit
SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens
Chairman and CEO of Stifel and member of the SIFMA Board of Directors, testified on behalf of SIFMA this week before the House Financial Services Subcommittee on Capital Markets and … Continue reading SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens
Westminster CSA Survey Finds 9 in 10 Traders Want Less Regulation of CSAs
Westminster co-president Tim O'Halloran, who authored the study, found that 88 percent of European and 93 percent of North American financial professionals want the same or lower levels of regulation … Continue reading Westminster CSA Survey Finds 9 in 10 Traders Want Less Regulation of CSAs
Podcast: Spring 2015 Firm Element Advisory – Part 2
This podcast is the second in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Spring 2015 Firm … Continue reading Podcast: Spring 2015 Firm Element Advisory – Part 2
Next Generation of Financial Advisors Seminar
SIFMA Conference Center New York City, NY, United StatesThe Next Generation of Financial Advisors Seminar will provide a forum to discuss the numerous opportunities to recruit and train the next generation of financial advisors. Speakers and panelists will … Continue reading Next Generation of Financial Advisors Seminar
EXECUTIVE SESSION to mark-up original legislation entitled “The Financial Regulatory Improvement Act of 2015.”
At 10:00 a.m. on Thursday, May 21, 2015 in Room 538, Dirksen Senate Office Building, the COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS will meet in EXECUTIVE SESSION to mark-up … Continue reading EXECUTIVE SESSION to mark-up original legislation entitled “The Financial Regulatory Improvement Act of 2015.”
Early Close Time @3:00pm
Memorial Holiday weekend early close time at 3:00pm.
Memorial Day – Market Holiday
www.finra.org/AboutFINRA/HolidaySchedule
2015 FINRA Annual Conference
Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United StatesFINRA's Annual Conference provides compliance professionals, securities attorneys, and other industry leaders with the opportunity to hear regulatory priorities and share compliance solutions. Click here for further details. FINRA Annual Conference … Continue reading 2015 FINRA Annual Conference
FINRA Small Firm Conference Registration – California
Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CARegistration is now open for FINRA's Small Firm Conference, which focuses on small firms' practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member … Continue reading FINRA Small Firm Conference Registration – California
Government Finance Officers Association: 109th Annual Conference
GFOA’s conference program will feature a broad range of sessions covering all aspects of state and local government finance, with something for everyone! Speakers will include leading public-sector practitioners; experts … Continue reading Government Finance Officers Association: 109th Annual Conference
Effective Date for Amendments to TRACE rules
The SEC approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules and dissemination protocols to provide for dissemination of transactions in an additional group of asset-backed securities and … Continue reading Effective Date for Amendments to TRACE rules
SEC Request for Comment on FINRA Rules
The SEC requests comment on a proposal to adopt FINRA Rule 2272 (Sales and Offers of Sales of Securities on Military Installations) to govern sales or offers of sales of … Continue reading SEC Request for Comment on FINRA Rules
SEC Request for Comment on Proposed NMS Plan Amendments
The SEC requests comment on proposals by the exchanges and FINRA to amend the Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded … Continue reading SEC Request for Comment on Proposed NMS Plan Amendments
FINRA Boot Camp: Supervision and AML Compliance
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
2015 Risk Control Assessment (RCA) Survey
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
2015 Foundations of Web CRD/IARD Training
M & T Bank Learning & Resource Center One Fountain Plaza, First floor, Buffalo, NY, United StatesThe 2015 Foundations of Web CRD/IARD training is designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and … Continue reading 2015 Foundations of Web CRD/IARD Training
FINRA Board of Governors Election: Petitions for Candidacy Due
The annual meeting of FINRA firms will take place on or about Thursday, July 30, 2015, to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm … Continue reading FINRA Board of Governors Election: Petitions for Candidacy Due
FINRA Boot Camp: Suitability & Managing Conflicts
Atlanta District Office One Securities Center Suite 500 3490 Piedmont Rd. NE, Atlanta, GA, United StatesHalf-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
2015 Foundations of Web CRD/IARD Training
M & T Bank Learning & Resource Center One Fountain Plaza, First floor, Buffalo, NY, United StatesThe 2015 Foundations of Web CRD/IARD training is designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and … Continue reading 2015 Foundations of Web CRD/IARD Training
MSRB Webinar: The Municipal Advisor Qualification Exam (Series 50)
During this free webinar, MSRB staff will provide a review of the content outline for the first qualifying exam for municipal advisors and instructions on how to register for the … Continue reading MSRB Webinar: The Municipal Advisor Qualification Exam (Series 50)
District 8 Chicago – District Compliance Event
The Westin Lombard Yorktown Center Lilac Meeting Room 70 Yorktown Shopping Center, Lombard, IL, United StatesDesigned 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
Comment Period Ends: SEC Request for Public Feedback to Inform Policy for Exchange-Traded Products
U.S. securities regulators are asking the public to weigh in on how new and novel exchange-traded products should be listed, marketed and traded, as part of an effort to potentially … Continue reading Comment Period Ends: SEC Request for Public Feedback to Inform Policy for Exchange-Traded Products
2015 SIFMA FMS Regional Conference
Hyall Magnificent Mile Chicago, IL, United StatesJoin 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
Volcker Implementation Webinar: Countdown to Compliance
Join SIFMA to hear about the industry efforts to roll out Volcker Rule compliance programs as the industry approaches the July 21, 2015 compliance date for the Volcker Rule. The … Continue reading Volcker Implementation Webinar: Countdown to Compliance
FINRA Comment Period Ends on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Summary: On March 25, 2015, the Securities and Exchange Commission (SEC) proposed amendments to Rule 15b9-1 under the Securities Exchange Act of 1934 (SEA or Exchange Act), which currently provides … Continue reading FINRA Comment Period Ends on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
FINRA Boot Camp: Supervision, and Supervision of Complex Products
Hotel Nikko San Francisco 222 Mason Road, Golder Gate Room, San Francisco,, CA, United StatesHalf-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 Supervision of Complex Products
FINRA Boot Camp: Cybersecurity and Supervision
FINRA Boca Raton District Office 5200 Town Center Circle Suite 200, Boca Raton, FL, United StatesHalf-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: Cybersecurity and Supervision
FINRA 2015 Risk Control Assessment Due Date
The 2015 Risk Control Assessment (RCA) which was issued on June 22. FINRA has requested that the survey be completed by Friday, July 17, 2015.
FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
Omni Los Angeles Hotel at California Plaza 251 South Olive Street, Los Angeles, CA, United StatesHalf-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: Managing Conflicts of Interest and Branch Office Inspections