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Regulation BI Conference Highlights Now Available

January 8, 2020
Volume 1


Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment
  • SEC Request for Comment
  • Renewal Program

Education and Compliance Programs

Tune in to the FINRA Unscripted podcast to hear FINRA leaders review existing and emerging regulatory topics that impact the broker-dealer industry, as well as other insights into the operations of FINRA.

On this episode, Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; and Bill St. Louis, senior vice president of the retail and capital markets firm groups, tell us what to expect from the Examination and Risk Monitoring program in the year ahead. Listen to the podcast.


Highlights from FINRA's 2019 Regulation Best Interest Conference are now available on our website. FINRA has also made available a full recording of the conference for on-demand viewing.

 Upcoming Deadlines and Effective Dates

FINRA Request for Comment

Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust
FINRA has issued Regulatory Notice 19-36 to request comment on a proposal to limit a registered person from being named a customer’s beneficiary or holding a position of trust on behalf of a customer. The proposed rule would require the member firm with which the registered person is associated to review and approve the registered person assuming such status or acting in such capacity. The proposed rule would not apply where the customer is a member of the registered person’s “immediate family.” Comments are due by January 10, 2020.

SEC Request for Comment

The SEC requests comment on FINRA’s proposal to amend the Membership Application Program rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in accordance with their terms. The comment period expires January 21, 2020. See the
Federal Register notice.

Renewal Program

FINRA has posted the 2020 Final Renewal Statements in E-Bill. Adjustments resulting from registration approvals or terminations as of December 31, 2019, are included in this final statement. The payment deadline is January 17, 2020, for firms that have a balance due. See Regulatory Notice 20-01 and visit the Annual Renewal Program page for details.


 Education and Compliance Programs

Last chance to register for FINRA's 2020 Cybersecurity Conference on January 14 in New York, NY. This one-day event helps you stay current on today's cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyberattacks. View the conference agenda for more information.

Register today for a Region Member Forum in your area! These one-day events, which feature sessions on key topics like the SEC's Regulation Best Interest, are designed to provide financial professionals in the region the opportunity to engage in discussions with FINRA staff and connect with industry leaders and peers.

Reserve your spot at FINRA’s premier event! Register today to receive reduced conference registration rates for the 2020 Annual Conference on May 12–14 in Washington, DC.

Save the Date for these upcoming FINRA events:

  • FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program – Week I | July 19–24, 2020 | Washington, DC
  • Small Firm Conference | November 11–12, 2020 | Santa Monica, CA
  • FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program – Week II | November 15–20, 2020 | Washington, DC

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