Recent Announcements for Industry Professionals

January 2015

FINRA Podcast

Fall 2014 Firm Element Advisory – Part 3

 

News Release

FINRA Hearing Panel Expels John Carris Investments and Bars CEO George Carris for Fraud

 

News Release

FINRA Hearing Panel Expels John Thomas Financial and Bars CEO Tommy Belesis

 

FINRA Podcast

December 2014 Monthly Recap

 

FINRA / SIFMA Cybersecurity Conference

Online brochure now available

 

Fixed Income Conference

Live broadcast registration now open; online brochure now available

 

Annual Conference

Live broadcast registration now open

 

News Release

FINRA Releases 2015 Regulatory and Exam Priorities Letter

 

Email

2015 Exam Priorities Overview

 

Regulatory Notice

SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities

 

Regulatory Notice

Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches

 

December 2014

News Release

FINRA Sanctions Monex Securities $1.3 Million for Failing to Register & Supervise Foreign Personnel

 

Information Notice

2015 and First Quarter of 2016 Report Filing Due Dates

 

News Release

FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures

 

Information Notice

2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

 

FINRA Podcast

Fall 2014 Firm Element Advisory - Part 2

 

News Release

FINRA Signs Regulatory Services Agreement with CBOE and C2

 

News Release

FINRA Bars Broker for Stealing $89,000 From an Elderly Customer

 

News Release

FINRA Fines Wells Fargo Advisors/Wells Fargo Advisors Financial Network $1.5 Million for AML Failure

 

Regulatory Notice

FINRA Reminds Firms of Extended Hours Trading Disclosures

 

News Release

FINRA Fines Merrill Lynch $1.9 Million and Orders Restitution of $540,000 for Fair Pricing Violation

 

News Release

FINRA Fines 10 Firms a Total of $43.5 Million

 

News Release

FINRA Names New Floor Member Governor

 

Report

Retrospective Rule Review: Communications with Public

 

Report

Retrospective Rule Review: Gifts, Gratuities and Non-Cash Compensation

 

News Release

FINRA Issues Retrospective Rule Review Reports

 

FINRA Podcast

November 2014 Monthly Recap

 

Election Notice

FINRA Announces Results of SFAB, NAC and District Committee Elections

 

Email to Firms

Update: FINRA Board of Governors Meeting

 

Video

Board Video Report

 

E-Learning Course

Supervision: FINRA Rules 3110, 3120, 3150 and 3170

 

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