Small Firm Briefing Registration

February 19, 2025

Features
  • Small Firm Briefing Registration 
    Registration is now open for the next Small Firm Briefing on March 3. On this webinar, FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by member firm participants to provide an overview of the recently held Clearing and Introducing Firm Forum, which brought member firms together to discuss clearing and introducing-related challenges and potential solutions. 
     
  • Maintaining Money Harmony in Relationships 
    In a recent Investor Insight, FINRA shared five ways that couples can bridge potential gaps in their financial goals, savings management, and the types of products in which to invest. The article is available here, and firms are welcome to share it and other FINRA Investor Insights with customers. 
     
  • ICYMI: FINRA CEO Blog Posts 
    Robert Cook, FINRA President and CEO, has published three blog posts in the last few weeks: one about the Consolidated Audit Trail (CAT), one regarding the SEC’s securities lending reporting requirements, and the third about updating Trade Reporting and Compliance Engine (TRACE) reporting timelines. 
     
  • ICYMI: Podcast Introducing FINRA’s StratIntel Team 
    Listen to the latest episode of the FINRA Unscripted podcast for an introduction to FINRA’s new Strategic Intelligence and Analytics team. Please note that FINRA Unscripted is changing its publication cadence from biweekly to monthly. New episodes will be published the first Tuesday of every month, starting March 4.
Guidance, Upcoming Deadlines, Effective Dates
New
  • Small Firm Briefing: Registration is now open for the next free webinar series on March 3. See the feature above for more information.
Reminders
  • 2025 Third-Party Vendor Request: As a reminder, firms are requested to provide FINRA with information about their vendors and banks via the 2025 Third-Party Vendor Request form in FINRA Gateway by Feb. 25. 
     
  • Rule Amendments Regarding Arbitration Document Production Lists: FINRA amended its Code of Arbitration Procedure for Customer Disputes to allow customers to decide whether to use Document Production Lists in “paper cases” (i.e., those without a hearing) and special proceedings. The amendments go into effect for arbitration cases filed on or after March 3 of this year. 
     
  • Comment on Proposed Changes to Corporate Financing: Members and other stakeholders have until March 20 to comment on proposed amendments that would make substantive, organizational and terminology changes to FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities). 
     
  • Four New Forms in FINRA Gateway: Visit FINRA’s website for more information about the new forms that are now available in FINRA Gateway. The compliance date for using them is March 31. 
     
  • Amendments to FINRA Rule 3240: Updates to FINRA’s Borrowing From or Lending to Customers Rule go into effect April 28 to strengthen the general prohibition against borrowing and lending arrangements between registered representatives and their customers, narrow some exceptions, modernize the “immediate family” definition, and more.
Disciplinary Actions
  • FINRA publishes disciplinary actions to remind members of specific conduct that violates FINRA rules and may result in disciplinary action. The February 2025 Monthly Disciplinary Actions are available here.
Education and Compliance Programs
Virtual Registration Systems Foundation | March 12-13 | Virtual Event
 
2025 FINRA Annual Conference | May 13-15 | Washington, DC | Hybrid Event
 
Small Firm Conference | Oct. 9-10 | Dallas, TX | Hybrid Event
Resources
Member Firm Hub – The latest guidance, resources, educational opportunities and more.
 
Membership Application Program (MAP) Tools – Guidance and other resources to help current members prepare for their continuing membership application (CMA) and new applicants prepare for a new member application (NMA).
 
FINRA Unscripted – A biweekly podcast that discusses a range of topics important to the securities industry.
 
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About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry—member brokerage firms doing business with the public in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.
Regulatory Contacts
FINRA By-Laws require member firms to maintain an email account on behalf of their executive representatives, to facilitate firm notification of important information. In light of this, requests from executive representatives to be removed from this email list cannot be honored.
 
Firms wishing to change the name or email address of their executive representative or designated assistant should use the FINRA Contact System: http://www.finra.org/FCS.
 
Subscribers
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