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FINRA Promotes Jessica Hopper to Head of Enforcement

January 22, 2020
Volume 3


Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment

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, Gerri Walsh, president of the FINRA Foundation, and Gary Mottola, director of research at the FINRA Foundation, break down the FINRA Foundation’s latest study, Investors in the United States. The report delves into the investing habits of over 2,000 Americans. Listen to the podcast.

The Annual Verification deadline in the FINRA Contact System is January 27, 2020. Firms are required to complete an annual verification of their contact information within the first 17 business days of each calendar year. The deadline for firms to complete the annual verification in the FINRA Contact System (FCS) is January 27, 2020. For instructions on performing the review, see the FCS Annual Review Guide. Rule 4517 requires firms to update designated contact information promptly upon any material change, verify such information annually and comply promptly with any request for such information via FCS.

FINRA recently announced the promotion of Jessica Hopper to Executive Vice President and Head of Enforcement. Hopper has been Acting Head of Enforcement since September 2019. She brings a wealth of experience and talent to this critical role, having risen through numerous positions within FINRA’s Enforcement Department during her 16 years at the organization.

 Upcoming Deadlines and Effective Dates

FINRA Request for Comment

FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. Regulatory Notice 20-02 outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule. The comment period expires March 9, 2020.

 Education and Compliance Programs

Gain insight into key priorities at FINRA’s Annual Conference, which takes place May 12–14 in Washington, DC. Join us for informative sessions, demos of FINRA systems and compliance tools, and opportunities to meet one-on-one with FINRA staff. PLUS – networking opportunities, conference exhibitors and more. Register today to receive reduced conference registration rates!

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.

Registration is open for FINRA’s eighth annual Diversity Summit on April 1 in New York City. This  free, one-day forum provides business leaders, diversity practitioners and human resource professionals in the financial services industry the opportunity to share ideas and effective practices to promote inclusion in the workplace. Register today to network with like-minded colleagues and gain valuable insight on the practical implications associated with creating a corporate culture that cultivates diversity of thought to drive innovation and creative problem solving.

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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