Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Unscripted Podcast: The Evolving World of Retirement Security

October 30, 2019
Volume 44


  • Regulatory Notice
disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment

Education and Compliance Programs

Tune in to the latest FINRA Unscripted podcast. In this episode, the University of Pennsylvania Wharton School’s Dr. Olivia S. Mitchell—the 2019 recipient of the FINRA Foundation’s Ketchum Prize—talks about how Americans think about and plan for retirement is changing. Dr. Mitchell walks us through her research into everything from pensions, Social Security, annuities and more, and discusses how the issues have changed. Listen to the podcast.

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.


Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019

The 2020 Renewal Program begins on November 11, 2019, when FINRA makes the Preliminary Statements available to all firms in E-Bill. As described in Regulatory Notice 19-35, the payment deadline is December 16, 2019.

  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:

  • FINRA announced that it has fined BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. (collectively, BNP) $15 million for AML program and supervisory failures involving penny stock deposits and resales, and wire transfers, that spanned four years. As part of the settlement, FINRA also required BNP to certify within 90 days that BNP’s procedures are reasonably designed to achieve compliance in these areas.

 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

FINRA's Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program comprises two non-consecutive weeklong residential courses, in addition to extensive pre-course readings and casework. Register today for Week II: Capstone which, takes place November 17 – 22, 2019.

FINRA is hosting 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:

FINRA logo

 facebook   twitter   linked in

Regulatory Contacts
FINRA By-Laws require member firms to maintain an Internet email account on behalf of their executive representatives. This facilitates firm notification of important publications and information added to the FINRA website.

Firms wishing to change the name or email address of their executive representative or designated assistant should do so through the FINRA Contact System (FCS). See for further information. Requests from executive representatives to be removed from this email notification list cannot be honored.

You received this message because you are currently subscribed to the email subscription list on the FINRA website. To update, sign up for other email lists or cancel your subscription at any time, use our "update information" or "unsubscribe" forms located at