FINRA Member Supervision and Market Regulation and Transparency Services provide insights into 2024 key examination and investigation priorities and recent findings related to fixed income securities and municipal advisory activities. This free, 75-minute session assists firms in understanding what to expect in 2024, topics that firms should consider to bolster their compliance practices and get
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the intersection of cybersecurity, fraud and financial crimes. Staff will also highlight resources, tools and tips for mitigating risk in this area.Speakers:Robert Cook, FINRA President and Chief Executive OfficerBrita Bayatmakou, Vice President, Cyber
December 12, 2023Kayte Toczylowski, Vice President of Member Relations and Education, hosts senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.Speakers:Kayte Toczylowski, Vice President, Member Relations and Education Stephanie Dumont, Executive Vice President, Market Regulation and Transparency ServicesBill St. Louis, Executive Vice
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the intersection of cybersecurity, fraud and financial crimes. Staff will also highlight resources, tools and tips for mitigating risk in this area.Speakers:Robert Cook, FINRA President and Chief Executive OfficerSarah Kwak, Associate General
FINRA senior staff host this one-hour webinar to discuss the Remote Inspections Pilot Program. This session reviews frequently asked questions we’ve received, the open enrollment and opt-out periods, and the data and information requirement for the program.This event is open to FINRA member firms only and registration is required for each webinar. Participants must provide their firm's
The Reg NMS Trade Through Report Card is a monthly statistical report detailing the transactions in NMS Securities that appear to have been reported by your firm to a Trade Reporting Facility ("TRF") or to FINRA's Alternative Display Facility at a price that traded through at least one protected best bid or offer at the respective time of execution. If non-compliance with the Order
The TRACE Detail Data Download is designed to accompany the TRACE Quality of Markets Summary Report Card as a tool to help a firm analyze and improve its compliance-related activities associated with reporting transactions via TRACE.
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by senior staff from the Office of Credentialing, Registration, Education and Disclosure to discuss updates with registration, testing and continuing education (CE).
Web EFT is a secure electronic file transfer application that eliminates the need for firms to manually submit online form filings to Web CRD®.
January 12, 2023FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision senior staff to discuss the 2023 Report on FINRA’s Examination and Risk Monitoring Program. Speakers:Robert Cook, FINRA President and Chief Executive OfficerMeredith Cordisco, Vice President, Member Supervision Regulatory Advisor and
