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

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

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

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.  

2015 FINRA Annual Conference

Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United States

FINRA'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 Boot Camp: Suitability & Managing Conflicts

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

$195.00

FINRA Boot Camp: Supervision, and Supervision of Complex Products

Hotel Nikko San Francisco 222 Mason Road, Golder Gate Room, San Francisco,, CA, 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 Supervision of Complex Products

$195.00

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 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: Managing Conflicts of Interest and Branch Office Inspections

$195.00

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers

SEC Washington D.C. headquarters 100 F Street N. E., Washington D.C., DC, United States

WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The … Continue reading SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers

FINRA Boot Camp: Supervision and Branch Office Inspections

FINRA Chicago District Office 55 W. Monroe Street Suite 2700, Conference rooms A-C, Chicago, IL, 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

$195.00
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