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. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2018)
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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. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. finra.complinet.com/en/display/display.html The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of … Continue reading Supplementary Inventory Schedule Reporting period end date of 09-30-2018 The SEC (Commission) is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange Act”). The amendment would provide that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer’s annual reports if, among other things, the securities business … Continue reading SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers |
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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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending August 31, 2018) The North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry. … Continue reading 2018 North Region Member Forum – Boston |
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Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q3 2018 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 Form G-37 setting forth, in the prescribed format, the following information: (A) for contributions to officials of issuers (other than a contribution made by a … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline Q3 2018 MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual fee to the Board of $500, with respect to each fiscal year of the Board in which the broker, dealer, municipal securities dealer, or municipal … Continue reading MSRB Rule A·14 (Annual Fee) |
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Firms may begin to submit post-dated Forms BDW and ADV-W, which must be dated 12/31/18. |
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The Securities and Exchange Commission ("Commission") is proposing amendments to rules for nationally recognized statistical rating organizations ("NRSROs") under the Securities Exchange Act of 1934 ("Exchange Act"). The amendments would provide an exemption from a rule for NRSROs with respect to credit ratings if the issuer of the security or money market instrument referred to … Continue reading SEC Request for Comments: Amendments to Rules for Nationally Recognized Statistical Rating Organizations FINRA requests comment from member firms and other interested parties on enhancements to the Securities Industry Continuing Education Program (CE Program) under consideration by the Securities Industry/Regulatory Council on Continuing Education (CE Council). These enhancements include the transition of the Regulatory Element program to a more focused and shorter learning requirement administered annually. The CE … Continue reading FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education |
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FINRA’s Anti-Money Laundering (AML) Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides demonstrations on using data and publicly available information to supplement compliance reviews of exception reports and alerts generated by automated surveillance systems. The … Continue reading FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton |
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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 senior staff. Location Fairmont Miramar Hotel & Bungalows, Santa Monica 101 Wilshire Boulevard Santa Monica, CA 90401 Tel: (866) 964-7262 Accommodations A room block has been … Continue reading 2018 FINRA Small Firm Conference |
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Web CRD and IARD are unavailable Nov. 10 as Preliminary Statements are generating. |
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FINRA requests comment on a proposal to expand the summary firm data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website by (1) publishing on a one-month delayed basis new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an alternative trading system (ATS); (2) publishing aggregate non-ATS … Continue reading FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website |
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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 |
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The Securities and Exchange Commission ("Commission") is reopening the comment period and requesting additional comment (including potential modifications to proposed rule language) on the following: proposed amendments and new rules that would establish capital and margin requirements for security-based swap dealers ("SBSDs") and major security-based swap participants ("MSBSPs") that do not have a prudential regulator, … Continue reading SEC Request for Comment: Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers |
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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 A-5 within 17 business days after the end of the month. The fifth FOCUS filing is required for every broker or dealer who does not carry … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings (Month ending 10/31/2018) 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 and approved by the FINOP within 17 business days after the end of each month. |
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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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending September 30, 2018) |
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The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of … Continue reading Supplementary Inventory Schedule Reporting period end date of 10-31-2018 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 of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activity Review (FINRA Rule 3270) FINRA released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers. FINRA highlights five areas where industry participants have most prominently leveraged RegTech innovations: surveillance and monitoring, customer identification and antimoney laundering compliance, regulatory intelligence, reporting and risk management and … Continue reading FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”) |
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