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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


Disclosure Reporting: CHRI and Criminal Documents

Compliance professionals at member firms are invited to listen in as FINRA staff discusses reviewing Criminal History Record Information (CHRI) reports and submitting criminal documents in response to disclosure requests.

 

Previous Webinars


Disclosure Reporting: Criminal Events

During this webinar, FINRA provides guidance on reporting criminal matters and a review of the expungement process.

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


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: Regulatory Actions 

During this webinar, FINRA provides guidance on reporting investigations, pending and final regulatory events, required document submission and a Statutory Disqualification overview.

View the recording and the presentation slides from the June 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.