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FINRA Issues Information Notice on Heightened Terror Threat Risk

January 29, 2020
Volume 4


Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment

Education and Compliance Programs

FINRA announced it was conducting a retrospective review of its rules and administrative processes that help protect senior investors from financial exploitation in Regulatory Notice 19-27. In addition to the feedback we received during the comment process, FINRA will be seeking information through a voluntary survey to be issued next week about firms’ experiences with these rules. Survey responses will be due by February 21.

On the most recent episode of the FINRA Unscripted Podcast, 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.

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!


Heightened Terror Threat Risk

The United States Department of Homeland Security has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States. Information Notice 1/23/20 outlines steps firms may consider taking to be prepared and respond to any cyber-attacks and other business disruptions that may occur.

 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

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.

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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