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→
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→
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→
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→
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→
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→
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
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→
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→
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→
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→
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→
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→
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→
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→
The Westin
Michigan Avenue, Chicago, IL, United States
The 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→
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→
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→
AMA Conference Center
1601 Broadway, New York, NY, United States
New 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→
Read Chairman and CEO Rick Ketchum's testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services.
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.
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→
SIFMA Conference Center
New York City, NY, United States
The 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→
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→
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→
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→
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→
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→
M & T Bank Learning & Resource Center
One Fountain Plaza, First floor, Buffalo, NY, United States
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→
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→
M & T Bank Learning & Resource Center
One Fountain Plaza, First floor, Buffalo, NY, United States
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→
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→
FINRA Boca Raton District Office
5200 Town Center Circle Suite 200, Boca Raton, FL, 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: Cybersecurity and Supervision→
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→
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 … Continue reading Military Consumer Protection Day 2015→
The Langham Boston Hotel
250 Franklin Street, Boston, MA, 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 Suitability→
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→
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 06/30/2015)→
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.
