Tag Archives: continuing education

Review and Update Firm Element Continuing Education Plan

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 investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and Update Firm Element Continuing Education Plan

Review and update Firm Element Continuing Education Plan

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 investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and update Firm Element Continuing Education Plan

2018 FINRA Small Firm Conference

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

FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education

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

Review and update Firm Element Continuing Education Plan

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 investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and update Firm Element Continuing Education Plan

Review and update Firm Element Continuing Education Plan

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 investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the … Continue reading Review and update Firm Element Continuing Education Plan

2018 FINRA Annual Conference

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 securities regulators for a three-day event dedicated to the most important issues affecting the securities industry. Reduced rates are available for the first 100 in-person … Continue reading 2018 FINRA Annual Conference

FINRA Half-Day Compliance Boot Camps – District 10 New York

District 10 Half Day 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 for immediate application to the workplace. May 14, 2018 10:30 a.m. – 2:30 p.m. FINRA District Office Brookfield Place 200 Liberty … Continue reading FINRA Half-Day Compliance Boot Camps – District 10 New York

Equity Market Structure Conference

SIFMA Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join equity market structure leaders in New York to discuss recommendations and actionable changes to enhance fairness, stability and transparency in the U.S. stock market.

SIFMA Internal Auditors Society Seminar: Stay Strong fo 2018

In 2018, prevalent and emerging risks are creating a significant impact across the securities and financial services industries.  Some of the key emerging risks include: industry-wide cyber-attacks, retrospective exposures, blockchain technology, cryptocurrency concerns, data privacy, audit coverage risk, and faulty data.  As a result, financial organizations need to navigate these related and challenging risks associated … Continue reading SIFMA Internal Auditors Society Seminar: Stay Strong fo 2018

SIFMA Financial Management Society: Fundamental Training – Net Cap & Customer Protection

Join the FMS for a fundamental training, where participants can hear from industry participants on the following topics: Discover the origins of Broker/Dealer Financial Responsibility Rules Determination of Net Capital Overview of Customer Protection Learn the requirements for Protection of Customer and PAB Portfolios Understand the Preparation of Customer and PAB Reserve Requirement

SIFMA C&L Annual Seminar

SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Celebrating its 50th anniversary, the 2018 Annual Seminar provides a unique opportunity for industry leaders and regulators to gather for three-days of information sharing, collaboration and networking. Throughout the program, participants will hear from the industry’s … Continue reading SIFMA C&L Annual Seminar

2018 West Region Networking Seminar

The FINRA West Region Networking Seminar is a half-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The seminar also includes thoughtful discussions around the future landscape of the financial services … Continue reading 2018 West Region Networking Seminar

SEC Approves Continuing Education Requirements for Municipal Advisors

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 MSRB Rule G-8, on books and records to be made by brokers, dealers, and municipal securities dealers and municipal advisors, to establish continuing education requirements … Continue reading SEC Approves Continuing Education Requirements for Municipal Advisors

FINRA Institute at Wharton CRCP Program

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. The program comprises two week-long residential courses that are delivered at the Wharton School, University of Pennsylvania campus in Philadelphia. Participants benefit from instruction delivered … Continue reading FINRA Institute at Wharton CRCP Program

SIFMA FMS Fundamental Training Securities Operations

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 be aimed at junior Operations and Finance members as a way to show how the trade life cycle relates to regulatory and financial reporting. Pillars … Continue reading SIFMA FMS Fundamental Training Securities Operations

Small Firm CRCP Scholarship

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 entire CRCP program, including room and board. FINRA is accepting applications through October 10, 2017. For more information, including eligibility requirements, the selection process and … Continue reading Small Firm CRCP Scholarship

FINRA 2017 Advertising Regulation Conference

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 on the advertising standards from industry and FINRA experts. This year’s conference includes opportunities to network with industry peers and meet one-on-one with Advertising Regulation … Continue reading FINRA 2017 Advertising Regulation Conference

2018 FINRA Annual Conference Early Registration

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 securities regulators for a three-day event dedicated to the most important issues affecting the securities industry. Reduced rates are available for the first 100 in-person … Continue reading 2018 FINRA Annual Conference Early Registration

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

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 qualified in accordance with the rules of the MSRB.   Pursuant to MSRB Rule G-3, an associated person of a municipal advisor firm who engages in … Continue reading MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

FINRA Blockchain Symposium

Distributed Ledger Technology (DLT)—also known as blockchain technology or distributed database technology—has attracted significant interest and funding in the financial services industry in recent years. FINRA’s  Blockchain Symposium, which takes place on July 13 in New York City, is designed to bring together regulators and industry leaders to discuss the use of blockchain and related … Continue reading FINRA Blockchain Symposium

FINRA’s RAD Training Offerings

FINRA’s Registration and Disclosure (RAD) Training team offers several training solutions designed for those at broker-dealer or joint broker-dealer/investment adviser firms. Training types include: Foundations of Web CRD/IARD Training (next session offered June 21-22, in Columbus, OH) Custom Web CRD Training – contact the RAD Training Team to inquire about a training session that is … Continue reading FINRA’s RAD Training Offerings

Phone-In Workshop: TRACE Reporting of Transactions in U.S. Treasury Securities

FINRA’s Transparency Services Department is hosting the third and final installment in its TRACE Reporting of Transactions in U.S. Treasury securities phone-in workshop series. During this one, FINRA staff review relevant rules and regulations, and discuss testing and other relevant technical information. Questions from participants will be accepted in advance or during the presentation via … Continue reading Phone-In Workshop: TRACE Reporting of Transactions in U.S. Treasury Securities

FINRA District 7 Atlanta – 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 Office staff. For more information including discussion topics, see the individual program descriptions below. Date Event Location & Venue Fees Registration May 31, 2017 9 … Continue reading FINRA District 7 Atlanta – District Compliance Events

District 5 New Orleans – 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 Office staff. For more information including discussion topics, see the individual program description below. Date Event Location & Venue Fees Registration May 17, 2017 9 … Continue reading District 5 New Orleans – District Compliance Events

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 Office staff. For more information including discussion topics, see the individual program descriptions below. Date Event Location & Venue Fees Registration May 11, 2017 9 … Continue reading FINRA District 6 Dallas – District Compliance Events

FINRA to Restructure Continuing Education Requirements and Qualification Exams

Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a  proposed rule change to adopt with amendments the NASD and Incorporated NYSE rules relating to qualification … Continue reading FINRA to Restructure Continuing Education Requirements and Qualification Exams

Global Finance Forum

Global Finance Forum – Capital Markets, Growth, and the Economy of tomorrow In conjunction with IMF-World Bank spring meetings, this open-press capital markets forum will feature armchair conversations with leading policymakers from the EU and U.S., and a panel discussion with event partners. The two-hour event will highlight important transatlantic economic issues impacting capital market participants. … Continue reading Global Finance Forum

2016 FINRA Small Firm Conference

The 2016 FINRA Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule. Throughout the event, attendees have the opportunity to discuss … Continue reading 2016 FINRA Small Firm Conference

2016 FINRA Registration & Disclosure Boot Camp

The FINRA Registration and Disclosure Boot Camp is designed for broker-dealer firms and should be beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training will offer practical and comprehensive training on disciplinary events and hot topics in FINRA’s … Continue reading 2016 FINRA Registration & Disclosure Boot Camp

MSRB Revises Content for Municipal Advisor Qualification Examination

The Municipal Securities Rulemaking Board (MSRB) filed a proposed rule change with the Securities and Exchange Commission (SEC) to revise the content outline for the Municipal Advisor Representative Qualification Examination (Series 50). The content outline for the Series 50 has been amended to reflect changes to the laws, rules and regulations covered by the examination … Continue reading MSRB Revises Content for Municipal Advisor Qualification Examination

2016 Fixed Income Conference

FINRA’s Fixed Income Conference focuses on current market impacts on fixed income, and how regulators and firms are responding. Featured topics include: Evolving Bond Market Structure Key FINRA Regulatory Developments Pricing and Best Execution Requirements View the conference agenda with session descriptions.  

FINRA Boot Camp

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 for immediate application to the workplace. Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Boot Camp

FINRA Boot Camp

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 for immediate application to the workplace. Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Boot Camp

FINRA Boot Camp

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 for immediate application to the workplace. Half-Day Compliance Boot Camp Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Boot Camp

FINRA Compliance Boot Camps

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 for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Compliance Boot Camps

FINRA Boot Camps

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 for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Boot Camps

FINRA Compliance Boot Camp

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 for immediate application to the workplace. Half-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required … Continue reading FINRA Compliance Boot Camp

FINRA Diversity Summit

The FINRA Diversity Summit provides a forum for business leaders, diversity practitioners and human resource professionals in the financial services industry to explore a variety of corporate practices, strategies, and outreach efforts intended to leverage the benefits of building sustainable diversity and inclusion programs. Visit the FINRA website for more information and to register.

SIFMA 2016 Compliance & Legal Annual Seminar

Registration is now open for the SIFMA 2016 Compliance & Legal Society Annual Seminar on March 13–16 at the Hilton Orlando Bonnet Creek. Compliance and legal professionals participate in SIFMA’s our interactive program with more than 65 dynamic panels and sessions that focus on the current regulatory and legal developments impacting the industry.

2016 Web CRD/IARD Training

The 2016 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.

SIFMA Securities Industry Institute Program

The Securities Industry Institute, SIFMA’s premier executive education program held in partnership with The Wharton School, is being offered March 6 – 11, 2016.

The program provides access to world-class faculty from Wharton and other leading universities and exposure from industry experts in the latest trends in the industry, prepares you for the uncertain shifts in the market, provides networking opportunities that enable you to build your network, business and perspective, and you will receive a SIFMA/Wharton Certificate upon graduation.

SIFMA Cyber Insurance Webinar

Every financial firm has an obligation to be vigilant in our industry’s commitment to cybersecurity. As cyber attacks become more frequent and destructive, cyber insurance policies can offer critical protections to complement your risk management program.

SIFMA, FireEye, DeWitt Stern and ACE Group, a leading provider of cyber insurance, are providing a cyber insurance webinar to learn more about the current cybersecurity landscape and the SIFMA Cyber Insurance Program. Participants will be provided an opportunity for in-depth Q&A.

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 company, municipal advisor and private fund/hedge fund compliance issues.   The workshops, labs and roundtable discussions are all led by experienced industry veterans who focus on the practical … Continue reading NSCP: National Society of Compliance Professionals

2015 SILA National Education Conference

On October 6, 2015, Daniel LeGaye of The LeGaye Law Firm was a co-speaker at the 2015 SILA National Education Conference, which was held at the Gaylord Opryland Resort & Convention Center in Nashville, TN.  The panels’ topic was “Walk the Line or Face Enforcement” and the presentation was meant to provide insight into the current regulatory … Continue reading 2015 SILA National Education Conference

Daniel LeGaye Guest Speaker on Current Regulatory Enforcement Environment

On October 6, 2015, Daniel LeGaye of The LeGaye Law Firm will be a co-speaker at the 2015 SILA National Education Conference.  The panels’ topic is “Walk the Line or Face Enforcement” and the presentation is meant to provide insight into the current regulatory and enforcement environment impacting broker-dealers and investment advisers – and the … Continue reading Daniel LeGaye Guest Speaker on Current Regulatory Enforcement Environment

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, inconsistent interpretation of mandates, rules that don’t match actual trading activity or regulations, false positives, excessive overrides and data issues are just a few of … Continue reading NSCP Offers Free Webinar: Managing Investment Compliance

Webinar: Seven Safety Measures When Working with Senior Investors

As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.

This webinar will discuss the unique needs of senior investors, steps your firm should take when working with this growing demographic, and the serious implications of FINRA and the SEC’s recent influx of disciplinary actions and investor alerts. Please join the discussion July 30 at 1pm.

Volcker Implementation Webinar: Countdown to Compliance

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

FINRA Boot Camp: Suitability & Managing Conflicts

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

FINRA Boot Camp: Supervision and AML Compliance

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.

FINRA Small Firm Conference Registration – California

Registration is now open for FINRA’s Small Firm Conference, which focuses on small firms’ practices and tips for complying with FINRA rules. Each session begins with a FINRA staff member highlighting key requirements of a rule, and then small firm panelists provide a step-by-step approach for complying with that particular rule. Topics featured at least … Continue reading FINRA Small Firm Conference Registration – California

NSCP: 2015 Regional Conference – New York, NY

New York, NY :: April 28, 2015 :: AMA Conference Center This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry.  Our workshops and labs are led by experienced industry veterans and legal professionals who focus on the … Continue reading NSCP: 2015 Regional Conference – New York, NY

NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program

In an era of heightened SEC enforcement, do you know when the SEC will hold you personally liable for employee misconduct? How do you protect yourself and how can compliance automation help you mitigate liability?Join NSCP and Compliance Science for a webinar discussion on CCO Liability and how compliance automation can help on April 21st … Continue reading NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program

NSCP: 2015 Regional Conference – St. Louis, MO

St. Louis, MO :: April 9, 2015 :: DoubleTree Hotel St. Louis at Westport This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals and service providers in the financial services industry.  Our workshops and labs are led by experienced industry veterans and legal professionals who focus … Continue reading NSCP: 2015 Regional Conference – St. Louis, MO

SIFMA: Private Client Conference 2015

The SIFMA Private Client Conference is North America’s leading event designed specifically for financial professionals who service the individual investor. Register now to hear from top industry leaders on tactical ways to enhance client service, advice and trust to help investors achieve their financial goals. Why You Should Attend: STRONG INDUSTRY PRESENCE – Senior Wealth … Continue reading SIFMA: Private Client Conference 2015