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.
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.
Tuesday, June 28
2 – 3 p.m. ET
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.