Recent Announcements for Industry Professionals

November 2014

FINRA Board of Governors

Rulemaking Items for Discussion at the December Meeting

 

FINRA Podcast

Fall 2014 Firm Element Advisory - Part 1

 

Information Notice

FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving

 

News Release

FINRA Fines Citigroup $15 Million for Failures Related to Equity Research

 

Regulatory Notice

FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities

 

E-Learning Course

AML – Broker-Dealers Conducting Business With Foreign Customers: Understanding Your Role – Vol. 1

 

News Release

FINRA, MSRB Release Proposals to Provide Pricing Reference Information for Investors in Fixed Income

 

Regulatory Notice

FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions

 

Regulatory Notice

Equity Trading Initiatives: OATS and ATS Reporting Requirements

 

Regulatory Notice

FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule

 

Regulatory Notice

SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees

 

Regulatory Notice

FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems

 

Regulatory Notice

FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements

 

Regulatory Notice

FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible

 

FINRA Podcast

Quarterly Disciplinary Review - October 2014

 

News Release

FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections

 

FINRA Podcast

October 2014 Monthly Recap

 

October 2014

Regulatory Notice

SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings

 

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