FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.
Rule 4111 Webinar
FINRA invites administrators who manage access to FINRA applications to attend this webinar to learn about the new Rule 4111 Compliance Tool, housed in the FINRA Gateway. This tool will provide, as they are issued:
- Official reports of whether the member firm met the Preliminary Criteria for Identification (PCI), including its Preliminary Identification Metrics, as of the Evaluation Date; and
- Unofficial early indicator reports of information as of, and before, an Evaluation Date. The unofficial reports will be generated for informational purposes only; whether a firm will meet the PCI as of the Evaluation Date for the official report could change based on subsequent events.
FINRA expects that the first unofficial early indicator reports will be available to member firms in early June 2022, and that the first official reports will be available in July 2022. FINRA will notify member firms when these reports are available.
Firms can learn more about the tool by joining a virtual demonstration on May 26, 2022, at 2 p.m. ET.
- Ask FINRA Advertising Regulation Senior Staff
- Disclosure Video Series
- Disclosure Reporting: Customer Complaints NEW
- Disclosure Reporting: Tips and Best Practices
- FINRA eFOCUS Redesign
- FINRA Gateway, Feature Highlights
- Account Management System
- Dynamic Reporting 101
- FINRA Gateway Reports: Enhancements and New Templates
- FINRA Gateway Reports: New Features and Templates
- Move Over Firm Gateway; FINRA Gateway is Coming Soon
- Move Over, Firm Gateway: What to Expect on August 21, 2021
- Registration System Changes
- CE Transformation: The Maintaining Qualifications Program (MQP) Explained NEW
- Disclosure Letters in FINRA Gateway
- Enhanced BR Online Filing Experience
- Enhanced U4 Filing Experience
- Enhanced U5 Filing Process
- Introduction to the Financial Industry Networking Directory (FIND) & Transitioning to FinPro
- Leveraging FinPro for Streamlined Compliance
- Moving From CRD to the New FINRA Gateway
FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.
Only FINRA's Annual Conference is open to the media. All other FINRA conferences, webinars, and other programs are closed to the media.