The Small Firm Virtual Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Agenda
View the brochure for the 2021 Small Firm Virtual Conference.
Session Recordings
Recordings of sessions are available to FINRA member firms and
SummaryOver the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online brokers—drawn in part by reduced barriers to entry, such as low- and no-commission trading and the ability to purchase fractional shares. Increased retail market
WASHINGTON – FINRA today published its 2019 Report on FINRA Examination Findings and Observations. The report reflects key findings and observations identified in recent examinations, and contains effective practices that could help firms improve their compliance and risk management programs. It summarizes findings and observations across a range of topics, including supervision, cybersecurity,
WASHINGTON – The FINRA Board of Governors has appointed Peter R. Fisher as a new public Governor. Fisher currently teaches at the Tuck School of Business at Dartmouth, where he is a clinical professor. Fisher’s term on the FINRA Board begins immediately.
In addition to his positions at Dartmouth, Mr. Fisher is a director of the John F. Kennedy Library Foundation and of the Peterson Institute for
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
The Office of the
The data elements specified in Rule 7230A(d) are critical to FINRA's compilation of a transaction audit trail for regulatory purposes. As such, all member firms utilizing the trade reporting service of the System have an ongoing obligation to input 7230A(d) information accurately and completely.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2005-087 eff. Aug. 1,
Firm Inaccurately Represented the Tax Status of Thousands of Interest Payments to Customers; Restitution Ordered
WASHINGTON—FINRA today announced it has censured and fined UBS Financial Services Inc. (UBS) $2 million for the firm’s repeated failures in timely addressing municipal short positions and in inaccurately representing the tax status of thousands of interest payments to customers. FINRA
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
In 2021, considerable industry, and in some cases public, attention was focused on topics that FINRA also addressed through its exam and risk monitoring program. These topics include newer SEC Rules (e.g., Regulation Best Interest (Reg BI), Form CRS, amendments to Rule 606), recent increases in the number and sophistication of cybersecurity threats, and the proliferation of securities trading
Our compliance tools come in many forms, including templates, checklists and directories. These optional tools may assist member firms with:Fulfilling their regulatory obligations;Implementing written supervisory procedures (WSPs); andTailoring their policies and procedures to reflect their size, business model and regulatory needs.Using these tools does not guarantee compliance with, or create
