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 from the auditing, banking, consulting, and technology industries; and leading academics and researchers at the forefront of the public finance profession. The GFOA’s annual conference … Continue reading Government Finance Officers Association: 109th Annual Conference
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Calendar of Events
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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 to reduce the time frame for reporting such transactions, other than Fixed or List Price and Takedown Transactions. Transactions in asset-backed securities effected pursuant to … Continue reading Effective Date for Amendments to TRACE rules |
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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 securities on the premises of any military installation to members of the U.S. Armed Forces or their dependents. The comment period expires June 2, 2015. … Continue reading SEC Request for Comment on FINRA Rules |
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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 on Exchanges on an Unlisted Trading Privilege Basis, and the Consolidated Tape and Consolidated Quotation Plans (collectively, the "Plans") to require Plan participants to include … Continue reading SEC Request for Comment on Proposed NMS Plan Amendments |
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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 new to their role or those looking for a refresher gain valuable insights on compliance activities for immediate application to the workplace. |
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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 examination program, in that the information collected from firms helps us better understand firms' businesses so examiners can arrive for examinations focused on any areas … Continue reading 2015 Risk Control Assessment (RCA) Survey 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. Three more sessions are being … Continue reading 2015 Foundations of Web CRD/IARD Training |
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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 Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed … Continue reading FINRA Board of Governors Election: Petitions for Candidacy Due 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. Three more sessions are being … Continue reading 2015 Foundations of Web CRD/IARD Training
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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 the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Suitability & Managing Conflicts
$195.00
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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 pilot exam. To register for the webinar, click here. |
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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 Office staff. - See more at: Regional Event. |
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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 write new rules for the sector. The Securities and Exchange Commission cited an ever-increasing number of requests by funds to launch new kinds of complex … Continue reading Comment Period Ends: SEC Request for Public Feedback to Inform Policy for Exchange-Traded Products 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 the 2015 SIFMA FMS Regional Conference program is the Treasury Panel and a look at the new SEC 17a-5 Compliance Reporting requirements. The Regulator Panel … Continue reading 2015 SIFMA FMS Regional Conference
$595.00
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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 webinar will feature expert panelists who will address issues related to both the proprietary trading and covered funds provisions of the Volcker Rule. A question … Continue reading Volcker Implementation Webinar: Countdown to Compliance
$99.00
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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 many proprietary trading firms with an exemption from membership in a national securities association. If adopted, the amendments generally would require a proprietary trading firm … Continue reading FINRA Comment Period Ends on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms |
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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 the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision, and Supervision of Complex Products
$195.00
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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 the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Cybersecurity and Supervision
$195.00
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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.
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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 the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
$195.00
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The SEC approved FINRA’s proposed rule change to adopt NASD Rule 3010(e) (Qualifications Investigated) relating to background checks on registration applicants as FINRA Rule 3110(e). FINRA Rule 3110(e) becomes effective on July 1, 2015. 3110(e) is based in part on substantially similar provisions in NASD Rule 3010 (e) and includes new provisions relating to the … Continue reading Effective Date of consolidated FINRA Rule 3110(e) |
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FINRA is soliciting comment on proposed amendments to the FINRA rules governing communications with the public. The proposed amendments would revise the filing requirements in FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2214 (Requirements for the Use of Investment Analysis Tools) and the content and disclosure requirements in FINRA Rule 2213 (Requirements … Continue reading FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public |
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