MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

These events are designed to strengthen your firm's cybersecurity preparedness—including the debut of a brand-new format we believe will transform how you approach incident response. Attend the first informative webinar to build your ransomware knowledge, then test your response capabilities with our new Decision Simulation format.

Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Beginning in mid-June, FINRA is conducting an information request focused on member firms’ and affiliates’ current and anticipated crypto asset activities. This webinar will provide an overview of the information request, explain why FINRA is making the request, discuss the submission process for the five-question inquiry, and clarify the scope of activities FINRA is inquiring about—including crypto assets that are securities and those that are not.

Rule Filing Status: Filed for Immediate Effectiveness

Proposed rule change to amend FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to except from the requirements of the rule accounts pursuant to Section 530A of the Internal Revenue Code.