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.
CE Transformation: Upcoming Changes to Annual Regulatory Element and Firm Element Requirements
Thursday, Sept. 29, from 2 to 2:45 p.m. ET
Compliance professionals at member firms are invited to join FINRA staff for a review of upcoming rule changes detailed in Regulatory Notice 21-41. Attendees are able to submit advance questions as part of the registration process, and FINRA will answer selected questions during the webinar. Space is limited, and a recording will be made available in the future.
- Account Management: Annual Super Account Administrator (SAA) Certification
- Account Management: Roles
- FINRA Account Details Report
- Ask FINRA Advertising Regulation Senior Staff
- Disclosure Video Series
- Disclosure Reporting: Customer Complaints
- Disclosure Reporting: Regulatory Actions – 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
- 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
- Rule 4111 Compliance Tool
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.