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The FINRA Annual Conference Returns May 2019

July 11, 2018
Volume 28

  • Regulatory Notice
  • UPC Advisory

Education and Compliance Programs

The FINRA Annual Conference returns May 2019. Watch highlights from the 2018 event and register early to secure your seat. Reduced rates are available for the first 100 in-person registrants through October 1—including new group rates for FINRA members registering six or more employees.

On July 16, FINRA will update the Request Manager application, to improve the targeting of request notifications. Specifically, once this change is released, a firm’s Regulatory Inquiries contact email address will be included on every request sent to the firm (except for the request types listed below). The new feature will minimize requests that are unnecessarily targeted to other roles at the firm. As a reminder, firms are required to provide a Regulatory Inquiries contact entry in the FINRA Contact System.

Note that at this time, the Regulatory Inquires contact will not be filled in by default (and will not be required to be included on the recipient list for Request Manager requests) for the following request types:
  • AEP Stock Record and Allocations
  • Advertising Investigative Request
  • SEC Bluesheet Request
  • FINRA Bluesheet Request
  • Regulatory Coordinator Request
If you have additional questions, email
[email protected]

Tune in to the FINRA Unscripted podcast to hear FINRA leaders review existing and emerging regulatory topics that impact the broker-dealer industry, as well as other insights into the operations of FINRA.

Steve Randich, FINRA’s Chief Information Officer, sheds light into how the cloud has revolutionized FINRA Technology. Listen to the podcast.



FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
TFINRA is monitoring developments in the digital asset marketplace and is undertaking efforts to ascertain the extent of FINRA member involvement related to digital assets. To supplement FINRA’s efforts to date, FINRA issued Regulatory Notice 18-20 to encourage each firm to promptly notify FINRA if it, or its associated persons or affiliates, currently engages, or intends to engage, in any activities related to digital assets, such as cryptocurrencies and other virtual coins and tokens. In addition, until July 31, 2019, FINRA encourages each firm to keep its Regulatory Coordinator abreast of changes in the event the firm, or its associated persons or affiliates, determines to engage in activities relating to digital assets not previously disclosed. If a firm recently has provided notice to its Regulatory Coordinator in response to a direct request, has provided this information by way of the 2018 Risk Control Assessment (RCA) Survey, or has submitted a continuing membership application (CMA) regarding its involvement in activities related to digital assets, FINRA does not request additional notification pursuant to this Notice unless a change has occurred.

UPC Advisory
The following UPC Advisory was posted in the last week:

  • UPC #24-18 Patriot National, Inc. (PNTPQ)

 Education and Compliance Programs

July 15 is the registration deadline for Week I of the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program—the first step toward earning your career-enhancing CRCP® designation. Week I of the program, which begins July 22, covers exempt offerings and resales, public offerings and civil liabilities, communications with the public, suitability, supervision and more. Register today.

Small Firm Report
Join FINRA on July 23 at 4:00 p.m. ET for the second Small Firm Report conference call. The discussion will include recent updates to FINRA rule proposals, including background checks and Rule 3110(e) and exam restructuring and the Securities Industry Essentials (SIE) Exam. The call will conclude with Q&A. 

This event is open to all members. Register here.

The conference agenda is now available for the FINRA Disclosure Reporting, Monitoring and Registration Conference. Join us for timely discussions around regulatory reporting requirements and industry practices related to firm registrations, including FINRA's Membership Application Program (MAP), individual registrations, customer complaints and disclosures. Register today.

District compliance events are designed for compliance and legal professionals at FINRA member firms, and offer an opportunity to hear about current regulatory issues while engaging with District Office staff. Review the list of upcoming events being held in the Boca Raton, Chicago, Denver, Dallas, Woodbridge, Kansas City, Los Angeles, and Atlanta districts.

Review the compliance calendar to see a complete list of events that may be in your area.

FINRA is hosting several upcoming Half-Day Compliance Boot Camps across the country, each with different areas of focus. Review the list of upcoming July events, or visit FINRA's website for a full list of FINRA's Compliance Boot Camps and to register.

Upcoming Half-Day Compliance Boot Camps:

  • July 12, 2018 | Atlanta, GA
  • August 9, 2018 | Del Mar, CA
  • August 28, 2018 | Southfield, MI
  • September 13 | Dallas, TX

Also coming up:

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Regulatory Contacts
FINRA By-Laws require member firms to maintain an Internet email account on behalf of their executive representatives. This facilitates firm notification of important publications and information added to the FINRA website.

Firms wishing to change the name or email address of their executive representative or designated assistant should do so through the FINRA Contact System (FCS). See for further information. Requests from executive representatives to be removed from this email notification list cannot be honored.

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