Short Interest Reporting Due Date
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.
Tag Archives: compliance
C&L Society Chicago Breakfast
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.
FINRA Offers Compliance Vendor Directory
The Financial Industry Regulatory Authority (FINRA) has issued a Compliance Vendor Directory for its members as a new resource for firms searching for vendors that offer compliance-related products and services. … Continue reading FINRA Offers Compliance Vendor Directory
District Compliance Meeting: Rochester NY – District 9b (Woodbridge)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Rochester NY – District 9b (Woodbridge)
District Compliance Meeting: Tarrytown, NY – District 9b ( Woodbridge)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Tarrytown, NY – District 9b ( Woodbridge)
District Compliance Meeting: Louisville, KY – District 8 ( Chicago)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting: Louisville, KY – District 8 ( Chicago)
2017 National Compliance Outreach Program for Broker-Dealers
Registration for the 2017 National Compliance Outreach Programs for Broker-Dealers, which is hosted by FINRA and the SEC, is now open. This program provides a forum for regulators and industry … Continue reading 2017 National Compliance Outreach Program for Broker-Dealers
FINRA District 6 Dallas – District Compliance Events
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 6 Dallas – District Compliance Events
FINRA Reduces Clock Synchronization Tolerance
The Securities and Exchange Commission (SEC) approved a new clock synchronization standard of 50 milliseconds that is applicable to computer clocks that are used to record certain events in NMS … Continue reading FINRA Reduces Clock Synchronization Tolerance
FINRA District Compliance Meeting – Ft. Lauderdale, Florida
FINRA District 7 Compliance Meeting 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 … Continue reading FINRA District Compliance Meeting – Ft. Lauderdale, Florida
FINRA District Compliance Meeting – Dallas, Texas
FINRA District Compliance Meeting 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 … Continue reading FINRA District Compliance Meeting – Dallas, Texas
FINRA District Compliance Meeting – Buffalo, New York
FINRA District Compliance Meeting 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 … Continue reading FINRA District Compliance Meeting – Buffalo, New York
FINRA Compliance Boot Camp – Jericho, New York
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Jericho, New York
FINRA Compliance Boot Camp – Washington D.C.
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Washington D.C.
FINRA Compliance Boot Camp – San Antonio
Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – San Antonio
FINRA Compliance Boot Camp – Minneapolis
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Minneapolis
FINRA Compliance Boot Camp – New York
FINRA Half-Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – New York
FINRA Compliance Boot Camp – Atlanta
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Atlanta
FINRA Compliance Boot Camp – San Francisco
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – San Francisco
FINRA Compliance Boot Camp – San Diego
FINRA Half-Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – San Diego
FINRA Compliance Boot Camp-New Jersey
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp-New Jersey
FINRA Compliance Boot Camp-Stamford, CT
FINRA Half-Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp-Stamford, CT
FINRA Compliance Boot Camp- Kansas City
Half-Day FINRA Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp- Kansas City
FINRA Compliance Boot Camp – Chicago
Half-Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Chicago
FINRA District Compliance Meeting – Raleigh N.C.
June 16, 2016 9:00 a.m. – 12:00 p.m. District Compliance Meeting Raleigh, NC Hilton North Raleigh Midtown 3415 Wake Forest Road Raleigh, NC 27609 FREE Register Topics Include: Regulatory Priorities … Continue reading FINRA District Compliance Meeting – Raleigh N.C.
District 1 San Francisco – District Compliance Meeting
District 1 San Francisco – District Compliance Meeting
FINRA’s Top 3 Regulatory Concerns for 2016 Examination Focus
Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority (FINRA), shared his thoughts on the top 3 regulatory concerns for 2016 recently at the SIFMA Annual Conference. His … Continue reading FINRA’s Top 3 Regulatory Concerns for 2016 Examination Focus
NSCP: National Society of Compliance Professionals
You are invited to attend the NSCP’s annual National Conference for the most comprehensive educational offering within the financial services industry covering over 80 topics, encompassing broker-dealer, investment adviser, investment … Continue reading NSCP: National Society of Compliance Professionals
NSCP Offers Free Webinar: Managing Investment Compliance
On the surface, the automated compliance library can appear to be smooth sailing. But when you look below the surface, do you really know what lies beneath? Uncontrolled library growth, … Continue reading NSCP Offers Free Webinar: Managing Investment Compliance
FINRA Half-Day Compliance Boot Camp: Boca Raton, Florida
FINRA Half-day Compliance Boot Camp focuses 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 the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
District 8 Chicago – District Compliance Event
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
Colorado – New Email Rules Effective June 1, 2015
The LeGaye Law Firm wants to advise you that the Colorado Department of Regulatory Agencies has recently passed a new rules Rules 51-4.3(K) and 51-4.4(IA)(I), which requires all broker-dealer and … Continue reading Colorado – New Email Rules Effective June 1, 2015
Tennessee Professional Privilege Tax Invoices
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
District Compliance Meeting – Columbus, OH – District 8 (Chicago)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with … Continue reading District Compliance Meeting – Columbus, OH – District 8 (Chicago)
District Compliance Meeting – District 8 (Madison WI)
Designed for compliance and legal professionals at FINRA member firms, these District Compliance Meetings offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA … Continue reading District Compliance Meeting – District 8 (Madison WI)