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FINRA Unscripted Podcast: Member Supervision Transformation

December 11, 2019
Volume 50


  • Information Notice

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

Education and Compliance Programs

Register today for the South Region Member Forum on January 23, 2020 in Hollywood, Florida. This one-day event is designed to provide financial professionals associated with FINRA member firms in the South region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.


Tune in to the latest FINRA Unscripted podcast. On this episode of FINRA Unscripted, Bari Havlik, Executive Vice President of Member Supervision, provides an update on FINRA’s transformation of its examination and risk monitoring program to make FINRA a more effective, agile and risk-focused regulator. Listen to the podcast.


2020 Holiday Margin Extensions Schedule

FINRA published Information Notice 12/9/19 to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in the Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday when the exchanges or banks are closed in 2020.

 Upcoming Deadlines and Effective Dates

FINRA Request for Comment

Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust
FINRA has issued Regulatory Notice 19-36 to request comment on a proposal to limit a registered person from being named a customer’s beneficiary or holding a position of trust on behalf of a customer. The proposed rule would require the member firm with which the registered person is associated to review and approve the registered person assuming such status or acting in such capacity. The proposed rule would not apply where the customer is a member of the registered person’s “immediate family.” Comments are due by January 10, 2020.

SEC Requests for Comment

The SEC requests comment on FINRA’s proposal to amend FINRA Rule 6750 (Dissemination of Transaction Information) to provide that FINRA may publish or distribute weekly aggregated transaction information and statistics on U.S. Treasury Securities. The comment period expires December 11, 2019. See the Federal Register notice.

The SEC requests comment on FINRA’s proposal to amend Rules 12100, 12202, 12214, 12309, 12400, 12601, 12702, 12801, and 12900 of the Code of Arbitration Procedure for Customer Disputes to expand a customer’s options to withdraw an arbitration claim if a member or an associated person becomes inactive before a claim is filed or during a pending arbitration. In addition, the proposed amendments would allow customers to amend pleadings, postpone hearings, request default proceedings and receive a refund of filing fees in these situations. The comment period expires December 13, 2019. See the Federal Register notice.


Renewal Program
As a reminder, December 16, 2019, is the payment deadline for Preliminary Statements of registration renewal fees. This annual program simplifies firms' registration renewal process with FINRA and participating regulators by requiring just one payment to FINRA. See Regulatory Notice 19-35 and visit the Annual Renewal Program page for details.


 Education and Compliance Programs

Register today for FINRA's 2020 Cybersecurity Conference on January 14 in New York, NY. This one-day event helps you stay current on today's cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyberattacks. View the conference agenda for more information.

Free on-demand recordings of sessions from FINRA's 2019 Advertising Regulation Conference are now available to member firms and CRCP graduates.

Reserve your spot at FINRA’s premier event! Register today to receive reduced conference registration rates for the 2020 Annual Conference on May 12–14 in Washington, DC.

Registration is now open for the 2020 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP) program. Take advantage of our new reduced group rates when you register two or more employees at the same time. Visit our web page for more information.

Save the Date for these upcoming FINRA events:

  • North Region Member Forum | February 12, 2020 | Boston, MA
  • Small Firm Conference | October 14–15, 2020 | Santa Monica, CA

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