Reg M – Rule 5190 Filings Report Card (Duration: 24 Minutes)

On March 23, FINRA introduced a new Reg M – Rule 5190 Filings Report Card. This resource is designed to provide firms with comprehensive insights into exceptions identified during submission reviews, showing information such as exceptions by exception type and exceptions by deal type, as well as compliance rates compared to industry benchmarks. By identifying potential areas of concern, and trends over time, this tool serves as both a compliance checkpoint and a resource for supervisory and compliance teams. The webinar will include a demonstration and a dedicated Q&A session.

FINRA Speakers:

  • William Leahey, Senior Director, FINRA Report Center
  • Patrick Devero, Senior Director, Surveillance and Market Intelligence
  • Melissa Springer, Director, Surveillance and Market Intelligence
     
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