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 On-Demand
Recent events, such as hurricanes, 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. The Business Continuity Planning Phone-In Workshop lasts approximately 75 minutes and its original, live air date was September 18, 2008
Access Information
To access the recorded Phone-In Workshop, please dial the phone number provided.
- Toll-Free: (800) 947-6515
- Outside US: (402) 220-4089
If you have questions regarding the Phone-In Workshop, please email us.
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.
- Toll-Free Number within the U.S.: (800) 839-1152
- Outside the U.S.: (402) 998-0988
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.
Anti-Money Laundering Independent Testing Phone-In Workshop On-Demand
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.: (800) 937-6972
- Outside the U.S.: + (402) 220-3138
If you have questions regarding the Phone-In Workshop, please email us.
Regulation NMS Phone-In Workshop On-Demand
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 Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
