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Reminder: Dec. 17, 2018, Payment Deadline for Preliminary Statements of Registration Renewal Fees

November 14, 2018
Volume 46

Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment

Education and Compliance Programs

Three FINRA elections to fill vacancies on the Regional Committees, the Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC) are underway. Ballots for each election are due November 15, 2018. The candidates running for election are listed in the following Election Notices:

In addition, FINRA is conducting a Special Election to fill a Small Firm Vacancy on the National Adjudicatory Council. Petitions for candidacy are due December 13, 2018. Any eligible individual who obtains the requisite number of valid petitions may be included as a candidate on the ballot by following the petition procedures set forth in FINRA Regulation’s By-Laws and Election Notice 10/29/18.

FINRA has developed a new section of the website to help individuals manage their careers. The Manage Your Career pages include information about all phases of a securities industry career, from considering becoming registered to taking exams to obligations when reps leave the industry.

As a reminder, December 17, 2018, is the payment deadline for Preliminary Statements of registration renewal fees. This annual program simplifies firms' registration renewal process with FINRA and participating regulators by requiring just one payment to FINRA.

See Regulatory Notice 18-37 and visit the 2019 Renewal Program page for details.


 Upcoming Deadlines and Effective Dates

FINRA Request for Comments

FINRA has one open request for comments.

released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers. FINRA highlights five areas where industry participants have most prominently leveraged RegTech innovations: surveillance and monitoring, customer identification and antimoney laundering compliance, regulatory intelligence, reporting and risk management and investor risk assessment. FINRA has requested comments and feedback from interested parties by November 30, 2018.

 Education and Compliance Programs

Registration is now open for FINRA's third Small Firm Report—a free conference call series hosted by senior FINRA leaders. The call takes place Tuesday, November 27 at 3:30 p.m. ET.  Senior Vice President Chip Jones will be joined by CEO Robert Cook, SVP for Investor Education Gerri Walsh and Senior Director for Advertising Regulation Amy Sochard to discuss new research on millennial investors and implications for industry, and digital communications and social media compliance.

Register today.

FINRA is hosting a CTCI migration conference call on Wednesday, Dec. 5, 2018, 2-3 p.m. Eastern Time, to discuss the upcoming migration. Effective Feb. 3, 2020, FIX will be the only protocol supported for reporting trades to FINRA's TRACE and ORF platforms. Register for the call to learn:

  • the steps that firms will need to take to successfully complete the migration;
  • where to find documentation;
  • about network and application testing for direct connections as well as for firms reporting via a service bureau; and
  • where to get support.

The call will be in listen-only mode. Questions may be submitted prior to or during the call to [email protected]

Register today for FINRA’s new RegTech Conference—a forum for regulators, thought leaders and industry practitioners to learn more about the use of RegTech tools, and related opportunities and challenges.

The conference takes place January 17 in New York City. Download the schedule-at-a-glance, which includes the full agenda and session descriptions.

Register early for the Annual Conference, which takes place May 15-17, 2019, in Washington, DC. Reduced rates are available for the first 500 in-person registrants before March 29, 2019. Register today.

Also coming up:

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