Compliance Calendar

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

District Compliance Event: District 9 Event to be held in Syracuse, NY

Cost: Free

Topics Include:

• High Risk Registered Representative Program Update
• Due Diligence for Private Placements
• Common Findings and New/Amended Rules Update

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Offi...

SR-FINRA-2018-022

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) to extend the Tier Size Pilot, which currently is scheduled to expire on June 7, 2018, until December 7, 2018.

Customer Margin Balance Due

FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts.

Compliance Boot Camp: District 9 Event to be held in Richmond, VA

Cost: $195

Topics Include:

• Effective Practices for Working With Senior Investors
• Social Media

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 immediate application to the workplace.

District Compliance Event: District 9 Event to be held in Tarrytown, NY

Cost: Free

Topics Include:

• TRACE – Recent Developments
• New FinCEN Customer Due Diligence Rule
• FINRA Enforcement Update

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

District Compliance Event: District 11 Event to be held in Boston, MA

Cost: Free

Topics Include:

• SEC Examination Priorities and Updates
• Cybersecurity – Issues and trends, Common Exceptions
• AML – Issues and trends, Suspicious Activity Monitoring, Customer Identification rules

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory iss...

Deadline for Comments on Regulatory Notice 18-13

FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest.

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.