On October 21, 2019, FINRA announced the Small Firm Advisory Committee (SFAC) election for New York Region. Eligible small firms in the New York Region were mailed a copy of the Notice and a ballot to vote in this election. Ballots must be returned no later than November 20, 2019, and the newly elected SFAC member will take office in January 2020.
Candidates
Firms
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2020.
FINRA’s Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the industry and
Agenda
8:00 a.m. – 4:45 p.m.
Registration
8:00 a.m. – 9:00 a.m.
Networking Breakfast
9:00 a.m. – 9:05 a.m.
Welcome Remarks
9:05 a.m. – 10:00 a.m.
Regulation Best Interest: Understanding Your Disclosure, Standard of Care, Conflicts of Interest and Compliance Obligations
Reg BI imposes a number of new obligations on broker-dealers when making securities or
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has launched the API Developer Center as a strategic initiative to support the automation goals of the industry. Many of our member firms as well as their service providers have software and systems that they want to integrate with FINRA products and services. The API Developer Center represents our commitment to a fully supported suite of APIs so that API developers can be confident that
8:00 a.m. – 12:30 p.m.
Registration
8:00 a.m. – 9:00 a.m.
Networking Breakfast
9:00 a.m. – 9:05 a.m.
Welcome and Opening Remarks
9:05 a.m. – 9:45 a.m.
Fireside Chat With FINRA President and CEO Robert Cook and Senior Vice President of Member Relations and Education Chip Jones
9:45 a.m. – 9:55 a.m.
Networking Break
9:55 a.m. – 10:40 a.m.
The FINRA Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6750 to provide that FINRA may publish or distribute aggregated transaction information and statistics on U.S. Treasury Securities.
Summary
Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present significant conflicts
