Recent Announcements for Industry Professionals

April 2014

E-Learning Course

Annual Compliance Reminders for Institutional Registered Representatives – Vol. 3

 

FINRA Board of Governors

Rulemaking Items for Discussion at the April Meeting

 

FINRA Podcast

Regulatory and Examination Priorities 2014 – Part 4

 

Information Notice

Continuing Education Planning

 

Regulatory Notice

Continuing Education

 

Regulatory Notice

FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules

 

Regulatory Notice

FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules

 

FINRA Podcast

Regulatory and Examination Priorities 2014 – Part 3

 

FINRA Podcast

March 2014 Monthly Recap

 

March 2014

Regulatory Notice

Regulatory Extension (REX) System Update

 

Regulatory Notice

SEC Financial Responsibility Rules

 

FINRA Podcast

Regulatory and Examination Priorities 2014 - Part 2

 

News Release

FINRA Fines LPL $950,000 for Supervisory Failures Related to Alternative Investments Sales

 

Regulatory Notice

Branch Office Registration

 

Regulatory Notice

Consolidated Supervision Rules

 

E-Learning Course

Annual Compliance Reminders for Registered Representatives – Vol. 4

 

News Release

FINRA and BATS Order Citigroup Global Markets Inc. to Pay $1.1 Million

 

FINRA Podcast

Regulatory and Examination Priorities 2014 – Part 1

 

News Release

FINRA Fines Triad Advisors & Securities America $1.2 Million for Consolidated Reporting Violations

 

Podcast

February 2014 Monthly Recap

 

News Release

FINRA’s Statement on PIABA’s Public Disclosure Study

 

Update

Update to Regulatory Notice 13-42.

 

Information Notice

New Rate for Fees Paid Under Section 31 of the Exchange Act

 

February 2014

Regulatory Notice

Limited Corporate Financing Brokers

 

News Release

FINRA Fines Berthel Fisher and Securities Management & Research, $775,000 for Supervisory Failures

 

Regulatory Notice

FINRA BrokerCheck

 

E-Learning Course

Corporate and Government Bonds: Regulatory Considerations

 

Regulatory Notice

Alternative Trading Systems

 

Email to Firms

Update: FINRA Board of Governors Meeting

 

Video

Board Video Report

 

News Release

FINRA Board Approves Rule Prohibiting Conditioning Arbitration Settlements on Unopposed Expungement

 

Regulatory Notice

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

 

Targeted Examination

Cybersecurity

 

Speech

Remarks by Richard Ketchum From the NACUBO 2014 Endowment and Debt Management Forum

 

News Release

BATS Global Markets, FINRA Enter Regulatory Service Agreement

 

Podcast

January 2014 Monthly Recap

 

FINRA Board of Governors

Rulemaking Items for Discussion at the February Meeting

 

News Release

FINRA Fines Brown Brothers Harriman Record $8 Million for Substantial AML Failures

 

Regulatory Notice

Consolidated Financial and Operational Rules

 

January 2014

Regulatory Notice

Alternative Display Facility

 

Free Webinar

New Supervision and Supervisory Control Rules | February 26, 2014

 

Regulatory Notice

Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251

 

News Release

FINRA Fines Banorte-Ixe Securities $475,000

 

Regulatory Notice

FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market

 

Podcast

January 2014 Quarterly Disciplinary Review

 

News Release

FINRA Bars J.P. Morgan Vice President and Broker Friend in Insider Trading Scheme

 

News Release

FINRA Sanctions Stifel, Nicolaus and Century Securities More Than $1 Million

 

Information Notice

2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates

 

Podcast

December 2013 Monthly Recap

 

Email to Firms

Annual Regulatory and Examination Priorities

 

Regulatory Notice

BD and IA Renewals for 2014

 

News Release

FINRA Releases 2014 Regulatory and Exam Priorities