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 the meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.   BrokerCheck Disclosure The … Continue reading FINRA Board of Governors February Meeting: Rulemaking Items for Discussion →

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 relating to anti-money laundering, economic sanctions and anti-bribery/anti-corruption compliance; and changes in regulatory expectations and requirements.  Now in its 15th year, this is the only … Continue reading SIFMA Anti-Money Laundering & Financial Crimes Conference →

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 Renaissance Regulatory Services, Inc. on {date and time} for a free webinar on the compliance issues faced by state registered investment advisers. Presenters will provide … Continue reading NSCP: Free Webinar – How to Successfully Navigate State Investment Adviser Regulations →

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 the important issues facing our industry in light of the rapidly changing and growing tools of social media. Please use the link for more details. … 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, FBR, OCC, CME and FINRA. Please use the link below to find out more information. www.sifma.org/events/

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 be filed by all members of the Securities Investor Protection Corporation for the first half of each fiscal year, due no later than 30 days … Continue reading SIPC Assessments (Year ending 12/31/2014) SIPC 7 →

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 trends. Please use the link below to find out more information. www.sifma.org/events/

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 have partnered to equip SII participants with practical information, ideas and answers directly applicable to their present and future responsibilities.

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 and how regulators and firms are responding. Topics include: fixed income-related examination and enforcement update; risk management for institutional firms; fixed income compliance practices for … 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 IARD, or who want to receive a refresher and registration tips. The two-day program offers practical, hands-on and comprehensive training. Six sessions are being offered: … Continue reading 2015 Foundations of Web CRD/IARD Training →

Anaheim, CA :: March 12, 2015 :: Sheraton Park Hotel – Anaheim Resort

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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 securities firms, financial regulators and other organizations to share diversity and inclusion best practices that link business goals to the workplace and the marketplace. Hear … Continue reading FINRA Diversity Summit →

Atlanta, GA :: March 24, 2015 :: Kilpatrick Townsend & Stockton LLP