The Small Firm 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.
Wednesday, November 9
12:00 p.m. – 5:30 p.m.
Registration
2:00 p.m. – 2:05 p.m.
Welcome Remarks
2:05 p.m. – 2:45 p.m.
Fireside Chat With FINRA President and CEO
Regulatory Obligations and Related Considerations
Regulatory Obligations:
Exchange Act Rule 15c3-3 (Customer Protection Rule) imposes requirements on firms that are designed to protect customer funds and securities. Firms are obligated to maintain custody of customer securities and safeguard customer cash by segregating these assets from the firm’s proprietary business activities and promptly
FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership
Variable annuity and variable life insurance products (collectively, “variable insurance products" or “variable products”) are being marketed and sold to a large number of investors. While variable insurance products may be appropriate investments for some investors, concerns have been raised about the sale of these products. This prompted the staffs of the Securities and Exchange Commission
SUGGESTED ROUTING
Senior Management
Advertising
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Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
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Registered
Executive Summary
The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 19, 2019.
The purpose of this
• Disqualified Persons—Failure to Discharge Supervisory Obligations
• Supervision—Failure to Comply With Taping Rule Requirements
• Supervision—Failure to Supervise
• Supervisory Procedures—Deficient Written Supervisory Procedures
Disqualified Persons—Failure to Discharge Supervisory Obligations
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Comment Period Expires March 31, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceRegistrationTrading
Executive Summary
At its January 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on amendments to the foreign associate provisions in Part X of Schedule C to the NASD By-Laws. These amendments would
