Guidance
| 
Upcoming Deadlines and Effective Dates
• SEC Request for Comment
| 
Education and Compliance Programs
|
|
 |
Register for the 2024 Fixed Income Examination and Investigation Priorities Webinar on March 19, 4 p.m. - 5:15 p.m. ET. FINRA Member Supervision and Market Regulation and Transparency Services will offer insights into 2024 key examination and investigation priorities and recent findings related to fixed income securities and municipal advisory activities. This free, 75-minute session will assist firms in understanding what to expect this year and topics to consider to bolster compliance practices, as well as to get answers to questions about fixed income securities and municipal advisory activities.
| | Guidance Newly published: - Regulatory Notice 24-06 to adopt amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and other professionals who choose to subscribe to the new data set.
- Regulatory Notice 24-07 regarding the quarterly GASB Accounting Support Fee to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB).
- Cybersecurity Advisory to warn member firms of continuing social engineering campaigns involving fraudulent representations of individuals purporting to be FINRA representatives.
| | Upcoming Deadlines and Effective Dates SEC Request for Comment
The SEC issued an order Feb. 22 instituting proceedings to determine whether to approve or disapprove FINRA’s proposed rule change, as modified by Amendment No. 1, to amend FINRA Rule 2210 (Communications with the Public) to permit, when specified conditions are met, the use of projections of performance or targeted returns in institutional communications and specified communications to qualified purchasers. Comments are due March 20. Rebuttal comments are due April 3. See the Federal Register notice.
| | Education and Compliance Programs Join FINRA on April 16 in Dallas for Registration Systems Foundation Training for member firm compliance personnel who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms.
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB) and Financial Industry Regulatory Authority (FINRA) will host a free hybrid Joint Outreach Program Nov. 20-21 on regulatory and compliance matters for municipal advisors, dealers, and other market professionals in Denver.
Reminder: The recording of the Small Firm Conference Call: Regulatory Notice 24-02 is available to FINRA member firms. During this call, FINRA CEO Robert Cook, Member Relations and Education Vice President Kayte Toczylowski, and FINRA senior staff discussed the Notice, which highlights the new Residential Supervisory Location designation and the Remote Inspections Pilot Program. Register to listen. Register for FINRA’s upcoming events: |
|
