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Mark Your Calendars: August System Functionality Retirements

May 19, 2021
Volume 20

disciplinary actions

Disciplinary Actions


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

Education and Compliance Programs

Mark your calendars: August system functionality retirements. Firm Gateway, Classic CRD Form U5 filing, and several other Classic CRD features are scheduled to partially or completely retire on August 21, 2021. We urge firms to familiarize themselves with FINRA Gateway while their legacy-equivalent functionalities are still available to allow for a smooth transition. See the FINRA Gateway and Registration Filing in FINRA Gateway pages for more information.

FINRA's Annual User Accounts Certification Process is underway and will conclude July 19, 2021. During this period, Super Account Administrators (SAAs) certify that individuals have the appropriate level of access to FINRA systems required to perform their job responsibilities or remove access if no longer required. For detailed information, refer to the Annual Entitlement User Accounts Certification Process page.

Tune in to the latest episode of the FINRA Unscripted podcast. On this episode, we are joined by Richard Berry, executive vice president of FINRA’s Dispute Resolution Services, Sam Edwards, a partner with the securities litigation and arbitration law firm Shepherd, Smith, Edwards and Kantas, and Beverly Jo Slaughter, senior managing counsel with Wells Fargo’s Wealth Investment Management Litigation group. They discuss the future of arbitration and mediation and lessons learned from practicing in a remote environment. Listen to the podcast.

  Disciplinary Actions

FINRA publishes disciplinary actions to remind registered representatives and firms of specific conduct that violates FINRA rules and may result in disciplinary action. FINRA posted the following disciplinary item on the website this week:

 Upcoming Deadlines and Effective Dates

FINRA Request for Comment

FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within the industry. See Regulatory Notice 21-17 for additional information. The comment period expires June 28, 2021.

SEC Requests for Comment

The SEC requests comment on FINRA’s proposal to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers and major SBS participants. Comments are due June
 2, 2021. See the Federal Register notice.

The SEC requests comment on FINRA’s proposal to adopt a Supplemental Liquidity Schedule, and Instructions thereto, pursuant to FINRA Rule 4524 (Supplemental FOCUS Information). Comments are due June 8, 2021. See the Federal Register notice.


 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.

Register for the Diversified and Carrying & Clearing Member Forum on July 13. Firm Grouping Member Forums are free one-day events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provide opportunities to meet one-on-one with FINRA Risk Monitoring Analysts, Directors, and Single Points of Accountability to discuss firm-specific questions.

Register for these upcoming FINRA events:

  • FINRA Institute at Georgetown Certified Regulatory and Compliance Professional Program
    Week I Waitlist | July 18-23, 2021 | Online
  • 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 | Online + In-Person

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