 | Upcoming Deadlines and Effective Dates SEC Requests for Comment
On Jan. 17, the SEC issued an order instituting proceedings to determine whether to approve or disapprove FINRA’s proposed rule change to adopt FINRA Rule 6897(a) (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to Jan. 1, 2022. These fees would be payable to Consolidated Audit Trail, LLC and referred to as Historical CAT Assessment 1. Comments are due Tuesday, March 5. Rebuttal comments are due Tuesday, March 19. See the Federal Register notice.
On Jan. 17, the SEC issued an order instituting proceedings to determine whether to approve or disapprove FINRA’s proposed rule change to adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a historical Consolidated Audit Trail (‘CAT’) recovery assessment through which FINRA would recoup its contributions to recoverable historical CAT costs incurred prior to Jan. 1, 2022. Comments are due Tuesday, March 5. Rebuttal comments are due Tuesday, March 19. See the Federal Register notice.
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 | Education and Compliance Programs Join FINRA in Dallas for registration systems and disclosure trainings this April. Registration is open for the Registration Systems Foundation In-Person Training and Disclosure Reporting In-Person Boot Camp, both of which have back-to-back sessions. Space is limited, so register early. - Registration Systems Foundation Training is a one-day training for firm compliance personnel who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms.
- The Disclosure Reporting Boot Camp includes two days of comprehensive training on disclosure reporting topics, including determining reportability and responding to FINRA disclosure letters.
Firm compliance personnel who are new to registration and licensing—or would like to become more familiar with navigating related systems—are invited to join FINRA virtually May 1-2 for the Virtual Registration Systems Foundation Training. Consult the Virtual Training Schedule & How to Register page for more information. Register for FINRA’s upcoming events: |
