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Guidance
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Upcoming Deadlines and Effective Dates
- FINRA Requests for Comment
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Education and Compliance Programs |
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FINRA Board of Governors Election. FINRA will conduct its Annual Meeting of firms on September 1, 2021. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors. Firms that are members of FINRA as of the close of business on July 30, 2021, are eligible to vote. See Election Notice 8/2/21 for information about the voting methods and candidate profiles.
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Guidance
UPC Advisories
The following UPC Advisories were published in the last week:
- UPC #69-21: Silvergate Cap Corp (OTC Symbol: SIVCV)
- UPC #70-21: Silvergate Cap Corp (SIVCL)
- UPC #71-21: Arbor Rlty Tr Inc (ABREV)
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Upcoming Deadlines and Effective Dates
FINRA Requests for Comment
FINRA issued Special Notice 6/30/21 seeking input from firms, investors, investor advocates, academics and other stakeholders who are knowledgeable about investor behavior regarding the most effective methods for educating newer investors. Comments will help inform and guide the investor education initiatives FINRA and the FINRA Investor Education Foundation undertake. The comment period expires August 30, 2021.
FINRA is requesting comment on potential enhancements to its short sale reporting program in Regulatory Notice 21-19. FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity. The comment period has been extended to September 30, 2021.
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Education and Compliance Programs
Upcoming Webinars: Move Over, Firm Gateway: What to Expect on August 21, 2021. Attend FINRA’s upcoming webinar to learn about features retiring August 21 in Firm Gateway and Classic CRD. Presenters will also walk through the transition to FINRA Gateway and discuss other recent system changes. Register to attend from 2 – 3 p.m. Eastern Time on August 12 to learn more. Presentation slides and recordings will be made available on the FINRA Gateway Webinars page. For more information, see the FINRA Gateway page.
Registration is now open for Week I of the 2022 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program. Register early and reserve your spot now. Week I takes place on July 17 – 22, 2022.
Save the date for these upcoming FINRA events:
- Compliance Outreach for Municipal Advisors | October 7, 2021 | Virtual
- Access and Impact: Gauging the Participation of Diverse Communities in the Capital Markets | October 22, 2021 | Virtual
Register for these upcoming FINRA events:
- Small Firm Conference | October 27 – 28, 2021 |
Santa Monica, CA | Limited in-person seats available | Virtual registration coming soon!
- FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program –
Week II | November 14 – 19, 2021 | Virtual + In-Person | Limited seats available
- 2022 FINRA Annual Conference | May 16 – 18, 2022 | Washington, DC
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