Webinar: Reg M – Rule 5190 Filings Report Card

On March 23, FINRA will introduce 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.

Reg M – Rule 5190 Filings Report Card
Thursday, March 19
11 – 11:30 a.m. ET
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This event is open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

Can't attend live? An on-demand recording will be made available on the Report Center web page. You can also contact the Report Center Admin with questions.

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FINRA members should complete the form below and click "Submit" to proceed.

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