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Phone-In Workshops

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Printer-Friendly Last Updated: 7/30/08 FINRA Phone-In Workshops

FINRA's Phone-In Workshops are an easy and convenient way to stay current on the latest regulatory topics. During these 60- to 75-minute teleconferences, regulators and industry experts discuss timely subjects. In addition, panelists answer questions submitted in advance by participants. Audience members can either dial-in live or listen to archived recordings at a later date. Many of the phone-in workshops feature online resource materials that can be accessed at any time.

Business Continuity Planning Phone-In Workshop
September 18, 2008
2:00 p.m. to 3:15 p.m. ET

Recent events, such as the Midwest floods and California wildfires, serve as vital reminders of the importance of business continuity planning and testing. During the Business Continuity Planning Phone-In Workshop, FINRA staff members discuss resources for firms and possible regulatory relief during disaster recovery. They also highlight common deficiencies found in the area of business continuity planning and focus particularly on the technical pitfalls identified during routine examinations. Industry compliance professionals share lessons learned from personal experiences.

To register for the phone-in workshop, complete the online registration form. This phone-in workshop is provided to you free of charge. Once registered, you will receive a confirmation email confirming your enrollment. Within 24 hours prior to the workshop, you will receive an email containing the toll-free number, passcode and a URL to access the materials Web page. Please note that registration will close 24 hours in advance of the phone-in workshop.

Submit Questions in Advance: Do you have a question you would like answered during this workshop? Please email your questions in advance as it helps us tailor the content. Only questions submitted in advance will be addressed during the workshop.

NIIDS Phone-In Workshop On-Demand

The NIIDS phone-in workshop addresses the recently approved amendment to MSRB Rule G-34, which becomes effective on September 30, 2008, and requires firms that act as managing underwriters of municipal securities issuances to participate with Depository Trust and Clearing Corporation's (DTCC) New Issue Information Dissemination System (NIIDS)—a centralized system to collect and, in real time, communicate information about newly issued municipal securities from underwriters to information vendors (see MSRB Notice 2008-22). DTCC, MSRB and FINRA staff members discuss and answer your questions regarding the NIIDS registration and testing requirements.  The NIIDS Phone-In Workshop lasts approximately 75 minutes and its original, live air date was July 29, 2008.

Access Information

To access the recorded Phone-In Workshop, please dial the phone number provided.

If you have questions regarding the Phone-In Workshop, please email us.

Transaction Reporting Phone-In Workshop On-Demand

The Municipal and TRACE Transaction Reporting Phone-In Workshop offers information and guidance on new securities transaction reporting initiatives, as well as common transaction reporting errors and tips for avoiding them. The phone-in workshop also addresses future regulatory enhancements to transaction reporting. Staff members from MSRB and FINRA are on hand to answer questions. The Transaction Reporting Phone-In Workshop lasts approximately 75 minutes and its original, live air date was June 26, 2008.

Access Information

To access the recorded Phone-In Workshop, please dial the phone number provided.

• Toll-Free Number within the U.S.: (866) 429-0569
  
• Outside the U.S.: + (203) 369-0911

If you have questions regarding the Phone-In Workshop, please email us.

OATS Reporting Phone-In Workshop On-Demand

This phone-in workshop provides updates about OATS, in particular, OATS for OTC-equity securities that became effective February 4, 2008. Panelists discuss common compliance issues and trends, highlight tools available to assist firms in supervision of OATS reporting and address the transition of OATS access through the Firm Gateway. The OATS Reporting Phone-In Workshop lasts approximately 75 minutes and its original, live air date was May 8, 2008.

Access Information

To access the recorded Phone-In Workshop, please dial the phone number provided.

• Toll-Free Number within the U.S.: (800) 294-0997
  
• Outside the U.S.: + (203) 369-3226

If you have questions regarding the Phone-In Workshop, please email us.

Rule 2821: Deferred Variable Annuities Phone-In Workshop On-Demand

This phone-in workshop focuses on NASD Rule 2821, the new rule regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities. Panelists discuss firms' responsibilities with respect to suitability, compliance and supervisory obligations regarding variable annuities transactions, and training. The Rule 2821: Deferred Variable Annuities Phone-In Workshop Phone-In Workshop lasts approximately 75 minutes and its original, live air date was April 18, 2008.

Access Information

To access the recorded Phone-In Workshop, please dial the phone number provided.

• Toll-Free Number within the U.S.: (800) 427-2749
• Outside the U.S.: + (402) 344-6844

If you have questions regarding the Phone-In Workshop, please email us.

The AML Phone-In Workshop offers information and guidance on independent testing procedures, including who can conduct a test (i.e., who is "independent"), how to conduct and evaluate a test, and how to follow-up on deficiencies noted in the testing results. The AML Independent Testing Phone-In Workshop lasts approximately 75 minutes and its original, live air date was February 5, 2008.

Access Information

To access the recorded Phone-In Workshop, please dial the phone number provided.

• Toll-Free Number within the U.S.: (866) 461-2739
• Outside the U.S.: + (203) 369-1355

If you have questions regarding the Phone-In Workshop, please email us. 

This phone-in workshop is designed to address frequently asked questions about Regulation NMS implementation. Regulation NMS, which the SEC adopted in June 2005, includes substantive new rules designed to modernize and strengthen the regulatory structure of U.S. equity markets. This program runs approximately 90 minutes and its original, live air date was September 17, 2007.

Access Information
To access the recorded Phone-In Workshop, please dial the phone number provided.

• Toll-Free Number within the United States: (800) 679-9640
• Outside the United States: (402) 220-0275

If you have questions regarding the Phone-In Workshop, please email us.

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, online workshops, phone-in workshops and other professional development courses are closed to the media.