FINRA Webinar: New/Updated Regulatory Notifications

In 2024, FINRA implemented streamlined and intuitive data entry process for firms’ Financial Notifications and Regulatory Notifications, which includes a new amendment function to help firms make updates and changes to forms. Join this webinar for a high-level overview of this implementation and a demonstration of the new forms.

Registration for this webinar is open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

On-Demand Recording

This webinar was held on February 4, 2025. Register below to listen again.

FINRA Member Firms
CRCP Graduates
 

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