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Unscripted Podcast: 2021 Member Supervision Priorities

April 7, 2021
Volume 14


  • Updated FAQ
  • UPC Advisories

Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment

Education and Compliance Programs

In response to COVID-19, FINRA has administratively postponed all in-person arbitration and mediation proceedings scheduled through July 2, 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.

Tune in to the latest episode of the FINRA Unscripted podcast. 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; Bill St. Louis, senior vice president of the retail and capital markets firm groups; and Tim Thompson, senior vice president of the trading and execution firm group, join the podcast to discuss recent exam findings and Member Supervision priorities for the year ahead. Listen to the podcast.

Register today for FINRA's premier event—the 2021 FINRA Annual Conference. Join us virtually May 18-20 as practitioners, peers and regulators exchange ideas on timely compliance and regulatory topics. Plus—secure your spot at virtual networking events to meet peers in your firm grouping, reconnect with fellow FINRA Alums, or learn more about the CRCP® Program or how to get involved with FINRA. Seating is limited for Networking Events this year – register by Friday, April 16 to secure your networking event spot(s).


Updated COVID-19 FAQ

FINRA has updated the COVID-19 Frequently Asked Questions to reflect a recent rule filing which extends the expiration date of temporary qualification examination relief from April 30, 2021, to June 30, 2021. FINRA does not anticipate providing any further extensions to the temporary amendments identified in the proposed rule change beyond June 30, 2021.

Updated and New Supervision FAQ

FINRA has updated the Supervision Frequently Asked Questions to clarify differences between the Rule 3120 Report and the Rule 3130 Report. FINRA has also drafted a new Frequently Asked Question to address how member firms can change the date on which their Rule 3130 annual certification is due.

UPC Advisories

The following UPC Advisories were published in the last week:

  • UPC #18-21: Noble Corporation PLC (n/k/a Noble Holding Corporation Plc) (NEBLQ)
  • UPC #19-21: Ascena Retail Group, Inc. (ASNAQ)
  • UPC #20-21: Global Eagle Entertainment, Inc (GEENQ)

 Upcoming Deadlines and Effective Dates

FINRA Request for Comment

FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions. See Regulatory Notice 21-11 for the proposed rule text and additional information. The comment period expires May 14, 2021.

 Education and Compliance Programs

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. Watch our latest panels today:

Virtual Compliance Boot Camps are almost sold out! 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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