Upcoming Deadlines and Effective Dates
FINRA Request for Comment
FINRA and the other participants of the Consolidated Quotation (CQ) Plan and the Nasdaq Unlisted Trading Privileges (UTP) Plan have issued a proposal for adding odd lot quotation information to the Securities Information Processor or “SIP” data feeds. The Plan participants are actively seeking input on the proposal, which is available on both the CTA website and UTP website. Comments are due by November 15, 2019.
Education and Compliance Programs
Register today to attend FINRA’s Senior Investor Protection Conference on November 12 in Washington, D.C. This one-day event is dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior investors and vulnerable adults.
FINRA is hosting a Half-Day Compliance Boot Camp on October 17 in Jericho, NY and an AML Half-Day Seminar on November 14 in Boca Raton, FL. Register today to reserve your spot.
District compliance events are designed for compliance and legal professionals at FINRA member firms, and offer an opportunity to hear about current regulatory issues while engaging with District Office staff. Review the compliance calendar to see a complete list of events.
FINRA’s 2019 Regulation Best Interest Conference will be held on December 18 in Washington, D.C. This one-day event is designed to bring regulators, executives and industry practitioners together to learn more about the SEC’s Regulation Best Interest (Reg BI). FINRA is offering free registration to the first two attendees from each firm. Register today to reserve your spot.
Also coming up:
- Compliance Seminar With the State of Pennsylvania | October 16, 2019 | Harrisburg, PA
- Small Firm Conference (SOLD OUT) | October 23–24, 2019 | Santa Monica, CA
- Advertising Regulation Conference | October 24–25, 2019 | Washington, DC
- FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program – Week II | November 17–22, 2019 | Washington, DC
- 2020 Annual Conference | May 12–14, 2020 | Washington, DC