Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to make technical and other non-substantive changes within FINRA rules.

Cost: Free

Topics include:

• SEC and FINRA Examination and Regulatory Priorities
• FINRA Update: Rules, Initiatives and Observations
• Supervision of High Risk Activities

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

Production Environment Opens:

The Production Environment opens for CAT Large and Small Industry Members that are OATS Reporters

Test Environment Opens:

The Test Environment opens for CAT Large and Small Industry Members that are OATS Reporters

CAT Registration:

Initial CAT Registration will run from March 18 - June 27, 2019.  All current Industry Members with a CAT reporting obligation should register during that window.

Cost: Free

Topics are TBD.

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

Cost: Free

Topics include:

• SEC and FINRA Examination and Regulatory Priorities
• FINRA Update: Rules, Initiatives and Observations
• Supervision of High Risk Activities

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

Cost: Free

Topics include:

• Qualification and Registration Requirement Changes
• FINRA Enforcement Updates and Recent Cases
• AML and Regulatory Notice 19-18

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

Rule Filing Status:  Approved

Rule change to amend FINRA Rule 12500 Series and 13500 Series to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents, and to make related changes to enhance the discovery process for forum users.

Rule Filing Status:  Filed for Immediate Effectiveness

Proposed Rule Change to Provide Temporary Relief to Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning to Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities.