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Our diversity efforts extend beyond the walls of FINRA. We think it's important to be a diversity and inclusion leader in the financial services industry, so we offer diversity-focused programming at our Annual Conference. And each year we host a Diversity Summit, where diversity practitioners from firms, financial regulators and other organizations are invited to share best practices that
WASHINGTON—FINRA announced today that it has promoted Nathaniel Stankard to Executive Vice President and Chief of Staff to the CEO for Regulatory Operations, effective immediately. In this new role, Stankard will be responsible for providing strategic direction on the integration of FINRA’s regulatory operations, and for helping advance FINRA’s unified approach to regulatory policy.
Stankard had
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
In observance of Christmas and New Year’s Day, the FINRA Alternative Display Facility (ADF) system will follow the schedule below:
Tuesday, December 24, 2019 Early Close
Wednesday, December 25, 2019 Closed
Wednesday, January 1, 2020 Closed
See the table below for a schedule of modified hours for Tuesday, December 24, 2019. Thank you for your attention to this
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Suggested Routing
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology Trading and Market Making Training
Debt Securities
OperationsRule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
Currently, NASD members that are parties to
This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry practices.
In observance of Christmas and New Year’s Day, the FINRA Alternative Display Facility (ADF) system will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 Closed
Friday, January 1, 2021 Closed
See the table below for a schedule of modified hours for Thursday, December 24, 2020. Thank you for your
The 2021 Compliance Outreach Program for Municipal Advisors is a free webcast program designed to provide municipal advisors and other municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters. Topics of discussion include managing conflicts of interest disclosures; operational considerations for registered municipal advisors; municipal advisors’ participation in new issue pricing; preparing for an examination; SEC and FINRA examination processes and common observations; and relevant SEC and FINRA enforcement actions. A tutorial on using the EDGAR system will also be presented.
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