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Guidance
- Special Notice
- UPC Advisory
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Upcoming Deadlines and Effective Dates
- FINRA Request for Comment
- Upcoming Effective Date
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Education and Compliance Programs |
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Simplified Login for FINRA Systems. Starting May 8, 2021, FINRA will provide a simpler, more consistent login experience across various applications and platforms, including FinPro, FINRA Gateway and the Dispute Resolution Portal. In the new interface, the User ID and Password are entered on the same screen, instead of two successive screens. SEC and FINRA users will log in via a Single Sign-On tab, and then enter only their email address to log in. Existing credentials will continue to work in the new interface. The system will remember credentials for 30 days before asking users to answer a security question. The change affects only the login process and does not affect the applications and platforms themselves.
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View the agenda for the 2021 FINRA Annual Conference. Join us virtually on May 18-20 as practitioners, peers and regulators exchange ideas on timely compliance and regulatory topics including FINRA’s Examination and Risk Monitoring Program, Compliance Challenges in a Remote Working World, Regulation Best Interest and Form CRS, and more!
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Guidance
2021 Election Process Overview
FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee, the National Adjudicatory Council and the FINRA Board of Governors. Special Notice 4/28/2021 provides a description of responsibilities for the various groups; an overview of each elected vacancy to be filled in 2021; and a summary of how eligible individuals can become candidates for election.
UPC Advisory
The following UPC Advisory was published in the last week:
- UPC #21-21: Sundance Energy Inc. (SNDEQ)
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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.
Upcoming Effective Date
In Regulatory Notice 21-09, FINRA adopted new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them. Amendments to FINRA Rule 8312 become effective on May 1, 2021.
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Education and Compliance Programs
Register today for the 2021 Virtual Technology Conference on June 23. This conference showcases the latest technology offerings to our member firms. Technology is transforming the Financial Services industry and FINRA is dedicated to supplying our members with innovative technology designed to protect investors and ensure market integrity.
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:
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