2019 Advertising Regulation Conference

FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulations. This year’s conference also includes opportunities to network with industry peers and meet one-on-one with Advertising Regulation Department staff during office hours and throughout the event.

Election Notice – 5/24/19

Executive Summary

The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 19, 2019. 

Regulatory Notice 19-19

Summary

FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting obligation must register during this window.

All questions regarding CAT registration should be directed to the FINRA CAT Helpdesk at (888) 696-3348.

SR-FINRA-2019-016

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to July 20, 2020 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.

Technical Notice

Holiday Reminder Regarding ORF Market Data

November 19, 2020

observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 26, 2020. Please be advised that the ORF system will close early on Friday, November 27, 2020 at 1 p.m., E.T. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.

Market Session Normal Hours Modified Hours for Friday, November 27, 2020

Pre Market Session

RM&AA

Registered Merger & Acquisition Advisor (RM&AA)

Designation Essentials
Status Currently offered and recognized by the issuing organization.
Designation Notes

This professional designation is to recognize the registering professional for their education, training, experience and licensure within this specified area of industry/practice. Designations are issued for 24-month durations by paying the required monthly designation licensing fee to Designation Depot. All qualifying professionals are eligible.
Issuing Organization Designation Depot
Qualification and Training Requirements
Prerequisites

Self-attestation that applicant is educated, trained and licensed in this specific field of industry in order to use this designation license.
Designation Training Requirements

None 
Designation Exam Type

None 
Continuing Education Requirements

None
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

Email: [email protected]
Published List of Disciplined Designees

None
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