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Register Today for FINRA’s Annual Conference

January 27, 2021
Volume 4

 
 
guidance

Guidance
  • UPC Advisories
upcoming

Upcoming Deadlines and Effective Dates
  • FINRA Requests for Comment
  • SEC Request for Comment
     
education

Education and Compliance Programs

Tune in to the latest episode of the FINRA Unscripted podcastOn this episode, we talk to Credentialing, Registration, Education and Disclosure’s Noah Egorin and Technology’s Claudia Holanda to hear about recent changes to FINRA Gateway and the enhanced Form U4 filing experience, and what firms and registered reps alike can expect going forward. Listen to the podcast.



FINRA's premier event — the 2021 FINRA Annual Conference — will be held entirely online. Join us virtually as practitioners, peers and regulators exchange ideas on timely compliance and regulatory topics. Nowhere else will you find this unique combination of the highest-caliber speakers discussing issues that matter most for the financial services industry. Register today and take advantage of our virtual pricing!
 

 Guidance

UPC Advisories

The following UPC Advisories were published in the last week:

  • UPC #08-21: CEC Entertainment, Inc.
  • UPC #09-21: SAExploration Holdings, Inc, Inc (SAEXQ)

 Upcoming Deadlines and Effective Dates

FINRA Requests for Comment

FINRA welcomes feedback in Regulatory Notice 20-42 on lessons learned from stakeholders’ experiences during the COVID-19 pandemic, including the impact of changes made to member firms’ operations and business models, and the effectiveness of business continuity planning. FINRA further requests comment on whether it should consider changes to its rules, operations or administrative processes to address lessons learned during the pandemic or to address anticipated long-term impacts of the pandemic on member firms and investors. The comment period expires February 16, 2021.

In consultation with the U.S. Department of the Treasury, FINRA is soliciting comment in Regulatory Notice 20-43 on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. The comment period expires February 22, 2021.

SEC Request for Comment on FINRA Rules

On December 30, 2020, the SEC issued an order instituting proceedings to determine whether to approve or disapprove FINRA’s proposal, as modified by Amendment No. 1, to enhance the regulation of quotations in OTC Equity Securities by adopting new requirements for member inter-dealer quotation systems, and to rescind the rules related to the OTC Bulletin Board® Service and cease its operation. The comment period expires January 27, 2021. See the SEC Notice of Order.

 Education and Compliance Programs

Registration is open for the 2021 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program. Week I takes place on July 18-23, 2021, and Week II takes place on November 14-19, 2021.Take advantage of our new reduced registration rates and gain your CRCP designation.
 

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Regulatory Contacts
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