Advertising Regulation Conference Live Broadcast Registration
Live Broadcast (multi-viewer)
FINRA Member
must provide valid CRD #
$500
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2019 Institutional Conference
FINRA’s Institutional Conference brings together industry experts, executives and policymakers to share their specialized knowledge and experiences on topics affecting institutional firms across the country. This one-day conference is designed to facilitate meaningful dialogue on a range of topics in an educational format that encourages the exchange of ideas and opinions. The conference also offers participants opportunities to interact, share effective practices and learn from representatives from institutional firms, regulators and exhibitors.
2020 FINRA Small Firm Virtual Conference On-Demand Sessions
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.
Register to View the Sessions
Recordings of sessions are available to FINRA member firms and CRCP® graduates.
Deadline for Comments on Regulatory Notice 19-17
FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
Deadline for Comments on Regulatory Notice 19-12
FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Regulatory Notice 19-20
Summary
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: