These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.
Annual Continuing Education RequirementEffective Jan. 1, 2023, all FSAWP-eligible individuals are required to complete Continuing Education (CE) Regulatory Element annually by Dec. 31 for each remaining year of their FSAWP eligibility.FINRA Rule 1210.09 established a waiver program for eligible individuals who left a member firm to work for a foreign or domestic financial services affiliate of a
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
GUIDANCEUniform Branch Office DefinitionExtension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006Joint Interpretive Guidance from NASD and the NYSE Relating to Uniform Branch Office Definition Under NASD Rule 3010(g)(2) and NYSE Rule 342.10Effective Date of Uniform Definition:NASD: July 3, 2006; NYSE:
SUGGESTED ROUTINGSenior ManagementAdvertisingContinuing EducationCorporate FinanceExecutive RepresentativesGovernment SecuritiesInstitutionalInsuranceInternal AuditLegal & ComplianceMunicipal Mutual FundOperationsOptionsRegistered RepresentativesRegistrationResearchSyndicateSystemsTradingTrainingVariable Contracts BackgroundThe National Association of Securities Dealers
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
SUGGESTED ROUTINGSenior ManagementInternal AuditLegal & ComplianceRegistration Executive SummaryNational Association of Securities Dealers, Inc., (NASD®) rules require that members supervise each of their associated persons, regardless of their location, compensation arrangement, or registration status. This Notice addresses firm obligations to supervise associated persons
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceOperationsRegistrationTradingTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn October 13, 1988, the Securities and Exchange Commission approved amendments to Article III, Section 27 of the Rules of Fair Practice and conforming amendments to Article I of the By-Laws and Schedule C
Effective December 19, 2007, locations that solely conduct final approval of research reports are exempt from the definition of Office of Supervisory Jurisdiction.
