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FINRA Celebrates 85 Years
Today marks 85 years since FINRA’s predecessor, the National Association of Securities Dealers (NASD), was registered as a national securities association on August 7, 1939. Our mission of protecting investors and safeguarding market integrity has stood the test of time. Our legacy is also a testament to our ability to adapt. As we build on our rich history, we continually foster a mutual understanding of business and regulatory matters among FINRA and the firms we regulate, developing tools and resources to assist firms and providing educational opportunities to advance understanding of and compliance with a firm's regulatory obligations.
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WebEFT Retirement Update
In response to feedback from firms, FINRA is extending WebEFT access until April 30, 2025 for firms that have started their transition from WebEFT to APIs by Nov. 15, 2024. The extension gives those firms additional opportunity to complete the required development to fully onboard to the API platform. WebEFT subscribers not migrating to APIs will no longer have access to WebEFT after Nov. 15, 2024 as previously announced. Read the update for complete details.
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FINRA Conferences
Registration is now open for the 2024 FINRA Diversity Leadership Summit and next year’s FINRA Annual Conference. See the Education and Compliance Programs section below for a listing and links to all of FINRA’s upcoming conferences and events.
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New Podcast on Membership Application Program
The latest episode of FINRA Unscripted focuses on FINRA's Membership Application Program (MAP), including discussions about the standards for admission to FINRA membership and how the MAP group works to ensure a smooth process for both current and prospective member firms.
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Applications Open for CRCP Small Firm Scholarship
FINRA is offering five scholarships to industry professionals from small firms to attend the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program. The scholarship covers full tuition for the entire program, including room and board. FINRA is accepting applications through Sept. 13. Please click here for more information and the application form.
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 | Notices and Guidance
New - No new notices or guidance.
Reminders - Regulatory Notice: FINRA reminds firms of our policy prohibiting members and their employees from making audio or video recordings of conversations between FINRA staff and member firm personnel during any calls or meetings related to FINRA’s oversight functions.
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 | Disciplinary Actions FINRA publishes disciplinary actions to remind registered representatives and firms of specific conduct that violates FINRA rules and may result in disciplinary action. The July 2024 Monthly Disciplinary Actions are available here.
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 | Upcoming Deadlines and Effective Dates New - No new deadlines or effective dates.
Reminders - OFR Final Rule: The U.S. Treasury Department’s Office of Financial Research (OFR) has adopted a final rule establishing a data collection for certain non-centrally cleared bilateral transactions in the U.S. repurchase agreement market. This collection requires daily reporting to that office by certain brokers, dealers and other financial companies with large exposures to non-centrally cleared bilateral repo. The OFR encourages Category 1 Covered Reporters, focused on brokers and dealers, to begin testing as early as possible and no later than 90 days before the Dec. 2 compliance date.
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 | Education and Compliance Programs Register for upcoming events: |
