SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 06/30/2017)
8 – Chicago August 29, 2017 12 p.m. - 4:30 p.m. The Pfister Hotel 424 E. Wisconsin Ave. Milwaukee, WI 53202 (414) 273-8222 Variable Annuities Effective Practices for Working With … Continue reading FINRA Boot Camp: Milwaukee, WI – District 8 (Chicago)
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 for immediate application … Continue reading FINRA Boot Camp: Omaha, NE – District 4 (Kansas City)
FINRA operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a … Continue reading FINRA Holiday: Friday before Labor Day ( 3:00 p.m. early close)
The Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA) have announced a services agreement designed to ease reporting burdens and compliance costs for member firms. The … Continue reading FINRA and SIPC Streamline Reporting Process
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 Securities and Exchange Commission ("SEC") has 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 … Continue reading SEC Adopts T+2 Settlement Cycle for Securities Transactions
The Municipal Securities Rulemaking Board (MSRB) is issuing this notice to remind municipal advisor firms of their obligation to ensure that every individual associated with the municipal advisor firm is … Continue reading MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017
FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. In-person Registration Live Broadcast Registration Location The Fairmont Dallas Hotel 1717 … Continue reading 2017 Fixed Income Conference
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 Compliance Meeting – District 4 Kansas City
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
There are three ways to register: online, fax, or mail. Online registration is for credit card transactions only. Dates Fee Location June 21 - 22 (8 a.m. to 5 p.m., … Continue reading FINRA Foundations of Web CRD/IARD Training
This class is designed for staff at broker-dealer firms and/or service providers that are new to reporting Disclosure information in Web CRD or those who want to receive refresher training … Continue reading FINRA Registration and Disclosure Boot Camp
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 Compliance Meeting: Ft. Lauderdale, FL – District 7 ( Atlanta)
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 Compliance Meeting – District 4 Kansas City
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 Compliance Boot Camp – District 3 Denver
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 08/31/2017)
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 08/31/2017)
On August 30, 2017, the SEC issued an order instituting proceedings to determine whether to approve or disapprove rule proposals filed by FINRA and the national securities exchanges to eliminate … Continue reading SEC Request for Comment: Consolidated Audit Trail
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 Compliance Meeting – District 7 Boca Raton, Florida
FINRA is hosting a call and WebEx presentation related to the Consolidated Audit Trail on Wednesday, September 27, 2017, at 4:15 p.m. The purpose of the call is to help … Continue reading Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members
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
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 07/31/2017)
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
The Securities and Exchange Commission (SEC) adopted amendments to several Investment Advisers Act rules, including the investment adviser registration data collection and reporting forms to enhance the reporting and disclosure … Continue reading Investment Advisers Face Enhanced Information Reporting
Registration is now open for the 2018 FINRA Annual Conference. Join leaders of firms of all sizes, compliance professionals, securities attorneys, government officials, FINRA senior leaders and representatives from other … Continue reading 2018 FINRA Annual Conference Early Registration
Recently, the Securities and Exchange Commission (SEC) staff has received inquiries about circumstances in which a filer determines that it must file an other-than-annual amendment to Form ADV on or … Continue reading Information Update for Advisers Filing Form ADV Amendments
Effective October 2, 2017, FINRA is reducing the delay period applicable to Historic TRACE Data for corporate bonds and agency debt, including Rule 144A transactions in such securities, from 18 months … Continue reading Rule Change to Reduce the Delay Period for TRACE
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
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 – District 2 – Del Mar, California
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 Compliance Meeting – District 2 – Del Mar California
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 Compliance Meeting – District 9B Woodbridge
FINRA is offering five scholarships to industry professionals from small firms to attend the FINRA Institute Certified Regulatory and Compliance ProfessionalTM (CRCPTM) program. The scholarship covers full tuition for the … Continue reading Small Firm CRCP Scholarship
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 Compliance Meeting – District 3 – Tempe, Arizona
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 2017)
October 16 – 18, 2017 :: Washington, D.C. :: Omni Shoreham Hotel The NSCP National Conference offers unique educational opportunities to further the professional growth of compliance professionals: Broker-Dealers :: … Continue reading National Society of Compliance Professionals – National Conference
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 Boot Camp – District 10 – New York
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 AML Seminar – District 6 Dallas
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 Boot Camp – District 10 Long Island – Jericho, New York
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
SIFMA's Annual Meeting returns to Washington, D.C. this fall for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Join SIFMA for expert insights and unparalleled … Continue reading SIFMA’s Annual Meeting – The Capital Markets Conference
FINRA Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.
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 – District 10 New York
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS and SSOI Filing (Quarter ending 09/30/2017)
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 Compliance Meeting – District 11 Boston
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
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2017)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2017)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 08/31/2017)
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
Join several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 2nd at the Marriott Marquis. This one day seminar will feature presentations … Continue reading C&L Society New York Regional Seminar
The SIFMA Internal Auditors Society (IAS) Annual Conference will examine how the Internal Audit, Risk Management and Compliance roles are evolving and responding to change and uncertainty on a global … Continue reading Internal Auditors Society Annual Conference
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 AML Seminar – District 7 – Boca Raton, Florida
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA … Continue reading 2017 FINRA Small Firm Conference
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
The SIFMA Compliance & Legal Society will host a breakfast in Chicago on November 10, 2017 at Mesirow Financial. For registration questions, please contact SIFMA Compliance & Legal Society.
The session will cover the life-cycle of a trade from booking through its accounting on books and records. The session will also cover control environments around securities operations and will … Continue reading SIFMA FMS Fundamental Training Securities Operations
The FINRA Institute at Wharton's Certified Regulatory and Compliance ProfessionalTM (CRCPTM) Program provides a comprehensive core of knowledge on securities regulation and the day-to-day application of those rules and regulations. … Continue reading FINRA Institute at Wharton CRCP 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 Preliminary Statements Available
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 AML Seminar – District 10 – New York
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 operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a … Continue reading FINRA Holiday: Day before Thanksgiving Day Early close ( 3:00 p.m.)
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 operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a … Continue reading FINRA Holiday: Day after Thanksgiving Day ( 1:00 p.m. early close)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/2017)
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 10/31/2017)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 09/30/2017)
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as amended (‘‘Securities Act’’), to designate … Continue reading SEC Covered Securities Amendment to Rule 146
SIFMA’s Listed Options Symposium brings together industry leaders, representing various roles across the market segment, for in-depth discussions on the state of the options market, and the challenges and opportunities … Continue reading Listed Options Symposium
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.
The South Region Compliance Seminar is conducted to help firms and their associated persons better understand current industry and regulatory issues. Throughout the event, staff members from the Atlanta, Boca Raton, … Continue reading 2017 South Region Compliance Seminar
FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts.
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 Public Company Accounting Oversight Board (PCAOB) has adopted new rules and amendments to auditing standards (collectively, the "proposed rules") to make the auditor's report more informative and relevant to … Continue reading PCAOB Adopts New Rules for Audit Reports
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 seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest. When respondents are no longer in business, recovery of arbitration awards … Continue reading Deadline for Comments on Regulatory Notice 17-33 – Code of Arbitration
FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest. The FINRA Codes of Arbitration and Mediation Procedure permit compensated non-attorneys … Continue reading Deadline for Comments on Regulatory Notice 17-34 – Arbitration Procedures
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/2017)
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 11/30/2017)
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
Effective January 1, 2018, Prometric will be the exclusive vendor delivering FINRA and its client exams. December 31, 2017 will be the last day candidates can take their exam at a … Continue reading Pearson Vue – Last Day to Provide FINRA Exams
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 operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a … Continue reading New Year’s Day – FINRA Holiday
The Municipal Securities Rulemaking Board (MSRB) received approval from the Securities and Exchange Commission (SEC) on May 16, 2017 to amend MSRB Rule G-3, on professional qualification requirements, and amend … Continue reading SEC Approves Continuing Education Requirements for Municipal Advisors
Impartial Conduct Standards During the transition period, financial institutions and advisers must comply with the "impartial conduct standards" which are consumer protection standards that ensure that advisers adhere to fiduciary … Continue reading DOL’s Fiduciary Rule Transition Period Ends
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 10/31/2017)
Final Renewal Statements will be available online in Web CRD/IARD. If you have a renewal overpayment, it will be automatically transferred to your daily account in conjunction with year-end renewal … Continue reading Final Renewal Statement Availability January 02, 2018
Final Statements for 2018 Renewal Program are available in E-Bill.
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.
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 2017)
www.finra.org/AboutFINRA/HolidaySchedule
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
Full payment of Final Statements is due.
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS and SSOI Filing (Quarter ending 12/31/2017)
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 12/31/2017)