October 9, 2018
New York, NY
Agenda
8:00 a.m. – 4:30 p.m.
Registration
8:00 a.m. – 9:00 a.m.
Networking Breakfast
9:00 a.m. – 9:15 a.m.
Welcome Remarks
9:15 a.m. – 10:15 a.m.
Session I: Regulatory Reporting Requirements
10:15 a.m. – 10:30 a.m.
Networking Break
10:30 a.m. – 11:30 a.m.
Session II: New CRD® —Transforming the
Frequently Asked Questions (FAQ) about OTC (ATS & Non-ATS) Transparency
Following are FAQs about FINRA’s research conflicts of interest rules.
FAQ regarding Reporting of Mortgage and Asset Backed Securities (Securitized Products)
Reporting of Corporate and Agencies Debt Frequently Asked Questions (FAQ)
Regulation NMS Plan to Address Extraordinary Market Volatility Plan Frequently Asked Questions
The Limited Review program can help to streamline the review process and provide faster clearance for non-shelf public offering filings.
The FINRA Midwest Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
The 2017 Compliance Outreach Program for Municipal Advisors is designed for municipal advisor industry professionals. The focus of the program is to promote strong compliance practices for the protection of investors. FINRA is partnering with the SEC and the MSRB to sponsor the program. Topics of discussion will focus on the duties and standards of conduct for non-solicitor municipal advisors
