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FINRA Board of Governors Meets Virtually for First Meeting of 2021

March 3, 2021
Volume 8


  • Updated FAQ

Education and Compliance Programs

In response to COVID-19, FINRA has administratively postponed all in-person arbitration and mediation proceedings scheduled through June 4, 2021, unless the parties stipulate to proceed telephonically or by Zoom or the panel orders that the hearings will take place telephonically or by Zoom.

FINRA’s virtual conference panels provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory leaders right from the comfort of your home. Join panelists as they explore the evolving regulatory structure surrounding senior investor protections and the challenges facing financial services professionals when developing an effective, efficient and integrated protection framework. Watch the latest panel on communication between Adult Protective Services (APS) and professional reporters of financial exploitation!

This week, the FINRA Board of Governors will hold its first Board meeting of 2021. At the meeting, the Regulatory Policy Committee will review proposed amendments to FINRA Rule 3240 (Borrowing From or Lending to Customers) and the Regulatory Oversight Committee will receive an update on the evolution of FINRA's Member Supervision Department. Additionally, the Finance, Operations and Technology Committee will review FINRA’s proposed use of 2020 fine monies, review FINRA’s advanced analytics strategy and continue discussions around enhancements of FINRA’s Continuing Education program.


Updated FAQ

FINRA has updated the Equity Trade Reporting FAQ relating to transactions priced at the Net Asset Value (NAV).


 Education and Compliance Programs

FINRA's premier event — the 2021 FINRA Annual Conference — will be held entirely online. Join us virtually May 18-20 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!

Virtual Compliance Boot Camps are filling up fast! These one-hour interactive virtual classroom sessions include training on a variety of topics including Cybersecurity, Anti-Money Laundering (AML), and Social Media and Digital Communications, and provide an opportunity to learn from and work closely with FINRA subject matter experts. Select your sessions and register today.

Register for these upcoming FINRA events:

  • FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program
    Week I | July 18-23, 2021
  • Advertising Regulation Conference |
    October 14-15, 2021 | Washington, DC
  • Small Firm Conference | October 27-28, 2021 |
    Santa Monica, CA
  • FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program
    Week II | November 14-19, 2021

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