FINRA's Updated Financial and Operational Rules Interpretations (Duration: 36 Minutes)

Join FINRA staff for this 36-minute session reviewing Regulatory Notice 25-12 which includes four new SEC staff interpretations covering net capital requirements and customer protection rules. FINRA staff explain what these updates mean for your firm and cover FINRA's easier access to hard-to-find source documents. The webinar concludes with a Q&A session addressing participant questions.

FINRA Speakers:

• Anthony Vinci, Senior Director, OFORP
• Ann Duguid, Senior Director, OFORP
• Kathryn Mahoney, Senior Direct, OFORP
• Mark Ramler, Director, OFORP
• David Aman, Senior Advisor, OFORP

Resources:

Regulatory Notice 25-12: FINRA Announces Update of the Interpretations of Financial and Operational Rules
Interpretations to the SEC's Financial and Operational Rules
FINRA Forward: Bring the Interpretation Handbook Into the Digital Age
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