- Effective Practices for Working With Senior Investors
- Outside Business Activities and Private Securities Transactions
FINRA Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for...
Designed for legal...
Topic: Consolidated Audit Trail (CAT)
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers The Small Firm Report, a free conference call series hosted by senior FINRA leaders who discuss trending topics, new...
Rule Filing Status: Approved
Rule change to amend FINRA Rule 4570 (Custodian of Books and Records) to: (1) provide a member that is filing a Form BDW (Uniform Request for Broker-Dealer Withdrawal) the option of designating another FINRA member as the custodian of its books and records on the form; (2) clarify the obligations of the designated custodian; and (3) require the...
SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
FINRA-required filing for firms with a minimum dollar net capital requirement of $100,000 or more. Submitted on same schedule as FOCUS Report filing schedule applicable to each firm.
SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.