Recent Announcements for Industry Professionals

October 2014

News Release

FINRA Names Richard Berry Director of Dispute Resolution

 

Speech

Remarks by Susan F. Axelrod From the SIFMA Complex Products Forum

 

FINRA Podcast

Consolidated Supervision Rules – Part 5

 

Webinar

Cybersecurity

 

Regulatory Notice

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015

 

News Release

FINRA Fines Merrill Lynch a Total of $6 Million for Reg SHO Violations and Supervisory Failures

 

Regulatory Notice

SEC Approves Supplemental Inventory Schedule

 

E-Learning Course

Real Estate Investment Trusts (REITs): Regulatory Considerations

 

FINRA Podcast

Consolidated Supervision Rules – Part 4

 

Regulatory Notice

SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding

 

Election Notice

SFAB Election and Ballots

 

Election Notice

FINRA District Committee Elections and Ballots

 

Election Notice

Election and Ballots for FINRA Small Firm NAC Member Seat

 

Information Notice

Continuing Education Planning

 

Regulatory Notice

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

 

Regulatory Notice

Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process

 

Regulatory Notice

New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)

 

FINRA Podcast

Consolidated Supervision Rules - Part 3

 

Information Notice

Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act

 

Regulatory Notice

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

 

News Release

SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors

 

Video

IRA Rollovers Q&A

 

FINRA Podcast

September 2014 Monthly Recap

 

September 2014

Regulatory Notice

FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System

 

Video

Comprehensive Automated Risk Data System (CARDS)

 

Information Notice

Individual Snapshot Reports Now Available Online

 

FINRA Podcast

Consolidated Supervision Rules - Part 2

 

Video

Board Video Report

 

Email to Firms

Update: FINRA Board of Governors Meeting

 

Regulatory Notice

FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data

 

FINRA Podcast

Consolidated Supervision Rules - Part 1

 

E-Learning Course

AML – Bank-Affiliated Broker-Dealers: Understanding Your Role – Vol. 1

 

Regulatory Notice

FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)

 

FINRA Board of Governors

Rulemaking Items for Discussion at the September Meeting

 

FINRA Podcast

August 2014 Monthly Recap

 

Election Notice

FINRA Small Firm Advisory Board Election

 

Election Notice

Upcoming Election to Fill FINRA District Committee Vacancies

 

August 2014
 

News Release

FINRA Fines Citigroup Global Markets Inc. $1.85 Million and Orders Restitution of $638,000

 

Regulatory Notice

SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions

 

E-Learning Course

Variable Annuities: Regulatory Implications

 

Conference

Small Firm Conference

 

Conference

Advertising Regulation Conference

 

News Release

FINRA Charges Wedbush Securities for Market Access Violations, AML and Supervisory Deficiencies

 

Regulatory Notice

FINRA Revises the Series 24 and 23 Examination Programs

 

Regulatory Notice

FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”

 

FINRA Podcast

July 2014 Monthly Recap

 

Election Notice

FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council