Recent Announcements for Industry Professionals

August 2014
 

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

 

July 2014
 

Regulatory Notice

SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information

 

FINRA Podcast

Quarterly Disciplinary Review - July 2014

 

News Release

SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement

 

Webinar

Monitoring for Insider Trading and Understanding FINRA’s Regulatory Tip Process

 

FINRA Podcast

IRA Rollovers – Part 2

 

News Release

FINRA Announces Arbitration Task Force

 

E-Learning Course

Municipal Bonds: Regulatory Considerations

 

Trade Reporting Notice

Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party

 

Regulatory Notice

SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing Prospectuses

 

Email to Firms

Update: FINRA Board of Governors Meeting

 

Video

Board Video Report

 

Information Notice

Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session

 

FINRA Podcast

June 2014 Monthly Recap

 

Targeted Examination

Order Routing and Execution Quality

 

FINRA Board of Governors

Rulemaking Items for Discussion at the July Meeting

 

News Release

FINRA Bars Broker for Insider Trading in Japanese Securities

 

Regulatory Notice

FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information

 

News Release

FINRA Fines Goldman Sachs $800,000 for Failing to Prevent Trade-Throughs in its ATS

 

June 2014

Regulatory Notice

SEC Approves FINRA Rule Concerning Self-Trades

 

Regulatory Notice

SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution

 

News Release

FINRA Brings 144A Corporate Debt Transactions Into the Light

 

Regulatory Notice

New Payments for Market Making Certification Requirement for FINRA Form 211

 

News Release

FINRA Hearing Panel Expels Success Trade Securities and Bars CEO Fuad Ahmed for Fraudulent Scheme

 

FINRA Podcast

Spring 2014 Firm Element Advisory – Part 2

 

Regulatory Notice

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

 

Annual Financial Report

2013 FINRA Year in Review and Annual Financial Report

 

E-Learning Course

AML - Institutional: Understanding Your Role - Vol. 1

 

Speech

Remarks by Executive Vice President and Chief Information Officer, Steven Randich From SIFMA Tech 2014

 

FINRA Podcast

IRA Rollovers - Part 1

 

News Release

FINRA Fines Merrill Lynch $8 Million; Over $89 Million Repaid to Overcharged Accounts and Charities

 

FINRA Podcast

May 2014 Monthly Recap

 

News Release

FINRA Fines 3 Firms $1 Million Each for Submitting Inaccurate Blue Sheet Data

 

FINRA Podcast

Spring 2014 Firm Element Advisory – Part 1

 

News Release

FINRA Makes Dark Pool Data Available Free to the Investing Public

 

May 2014

FINRA Podcast

Quarterly Disciplinary Review - April 2014

 

Regulatory Notice

April 2014 Supplement to the Security Futures Risk Disclosure Statement

 

E-Learning Course

AML - Retail: Understanding Your Role - Vol. 1

 

FINRA Leadership Podcast

Rick Ketchum's 2014 Annual Conference Welcome Address

 

Speech

Remarks by Richard Ketchum From the FINRA Annual Conference

 

Regulatory Notice

FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA

 

Regulatory Notice

SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal

 

Regulatory Notice

SEC Approves Amendments to Equity Trade Reporting and OATS Rules

 

Regulatory Notice

FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online

 

Election Notice

Upcoming FINRA Board of Governors Election

 

News Release

FINRA Fines Morgan Stanley Smith Barney $5 million for IPO Supervisory Failures

 

FINRA Podcast

April 2014 Monthly Recap

 

News Release

FINRA Rule Change to Limit Self-Trading Approved