This one-day conference was held online on October 28, 2020, and focused on effective practices and tips for complying with FINRA rules — from the unique perspective of small firms.
Recordings of sessions are available to FINRA member firms and CRCP® graduates.
FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
The Securities and Exchange Commission (SEC) approved1 amendments to FINRA’s customer and industry arbitration rules to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents. The amendments also make related changes to enhance the discovery process for forum users.
The amendments are effective for cases filed on or after July 1, 2019.
Questions concerning this Notice should be directed to:
Our compliance tools come in many forms, including templates, checklists and directories. These optional tools may assist member firms with:
As stated in the May 7, 2019 TRACE Technical Notice, FINRA updated the TRACE for Treasuries User Guide to coincide with the addition of an “All-In Price” field. This field will be located in the Matched and Unmatched Screens on the TRAQS website beginning Monday, June 10, 2019. FINRA previously advertised June 3, 2019 for the new field to be in effect.
Washington D.C., May 23, 2019 – In recognition of the one-year anniversary of the passage of The Senior Safe Act, the North American Securities Administrators Association (NASAA), the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have issued a fact sheet to help raise awareness among broker-dealers, investment advisers, and transfer agents of the Act and how the Act’s immunity provisions work.
FINRA’s District Compliance Seminar with the State of Pennsylvania offers a comprehensive agenda designed for new and experienced compliance and legal professionals. Industry and regulatory speakers facilitate an interactive discussion on regulatory rules and effective practices. This half-day event also includes opportunities to network with industry peers and FINRA District Office staff.
Download the 2019 District Compliance Seminar brochure.
