Skip to main content

Webinar Series: Disclosure Reporting

Join us during this webinar series as we discuss topics related to disclosure reporting. These sessions are designed for compliance professionals who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives.

Session-specific webinar details will be provided below as future dates in the series are announced. Recordings of previous webinars in this series are also available on this page. For announcements about similar events, please sign up for the Registration and Testing Information subscription list.

Upcoming Webinars


Attend the June 28 FINRA Disclosure: Regulatory Actions Webinar

This webinar provides guidance on reporting investigations, pending and final regulatory events, required document submission and a Statutory Disqualification overview. Attendees are able to submit advance questions as part of the registration process. FINRA will answer selected questions during the webinar.

FINRA Disclosure: Regulatory Actions Webinar
Tuesday, June 28
2 – 3 p.m. ET

 

Previous Webinars


Disclosure Reporting: Customer Complaints

During this webinar, FINRA provides guidance on reporting customer complaints, arbitrations and civil litigations in FINRA Gateway and 4530 reporting.

View the recording and the presentation slides from the March 2022 session.


Disclosure Reporting: Tips and Best Practices

During this webinar, FINRA provides an abridged version of the previous in-person Registration and Disclosure Boot Camp training.

View the recording and the presentation slides from the November 2021 session.