Webinar Series: Disclosure Reporting
Held between November 2021 and August 2024, the Disclosure Reporting Webinar Series provided basic information about different types of reportable events. These sessions were designed for compliance professionals at FINRA-member broker-dealers who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives and firms.
The content of the recordings on this page are provided as-of the date of the recording and contain additional content disclaimers. Users interested in more in-depth and up-to-date disclosure training are encouraged to review the Disclosure Reporting Boot Camp page for upcoming training dates.
Previous Webinars
Organization Reporting: Forms BD and BDW
During this webinar, FINRA provides an overview of completing and submitting Forms BD Initial, BD Amendment, and BDW.
View the recording and the presentation slides from the August 2024 session.
Disclosure Reporting: Civil Judicial Events and Bonds
During this webinar, FINRA provides guidance on reporting civil judicial events and bond events.
Disclosure Reporting: CHRI and Criminal Documents
Compliance professionals at member firms are invited to listen in as FINRA staff discusses reviewing Criminal History Record Information (CHRI) reports and submitting criminal documents in response to disclosure requests.
View the recording and the presentation slides from the November 2022 session.
Disclosure Reporting: Criminal Events
During this webinar, FINRA provides guidance on reporting criminal matters and a review of the expungement process.
View the recording and the presentation slides from the August 2022 session.
Disclosure Reporting: Customer Complaints
During this webinar, FINRA provides guidance on reporting customer complaints, arbitrations and civil litigations in FINRA Gateway and 4530 reporting.
View the recording and the presentation slides from the March 2022 session.
Update: Slide 7 in the presentation above session states: "Any removal ('deleting') of customer dispute information is governed by FINRA Rule 2080." Effective Oct. 16, 2023, FINRA revised the Codes of Arbitration Procedure to modify the process relating to the expungement of customer dispute information. The grounds for awarding expungement identified in FINRA Rule 2080(b)(1) have not changed. However, they have been incorporated into FINRA Rules 12805(c)(8)(A)(i) and 13805(c)(9)(A)(i). Please review Regulatory Notice 23-12 or the Expungement of Customer Dispute Information page for details.
Disclosure Reporting: Financial Events
During this webinar, FINRA provides guidance on reporting bankruptcy and compromise with creditor events, judgments and liens.
View the recording and the presentation slides from the March 2023 session.
Disclosure Reporting: Regulatory Actions
During this webinar, FINRA provides guidance on reporting investigations, pending and final regulatory events, required document submission and a Statutory Disqualification overview.
View the recording and the presentation slides from the June 2022 session.
Disclosure Reporting: Terminations and Internal Reviews
During this webinar, FINRA provides guidance on completing Form U5 and reporting Internal Review and Termination events.
View the recording and the presentation slides from the August 2023 session.
Disclosure Reporting: Tips and Best Practices
During this webinar, FINRA provides an abridged version of the previous in-person Registration and Disclosure Boot Camp training.
View the recording and the presentation slides from the November 2021 session.