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Register Today for the FINRA RegTech Conference

November 28, 2018
Volume 48

Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment
  • FINRA Election
  • Registration Renewal

Education and Compliance Programs

Register today for the FINRA 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 conference brochure, which includes the full agenda and session descriptions.


 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.

FINRA Elections

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.

Registration Renewal

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.



 Education and Compliance Programs

The next Options Industry Regulatory Conference takes place Tuesday, December 4, 2018, at 2 p.m. ET. During the meeting, FINRA surveillance and examination staff will discuss regulatory priorities and recent findings. To register, please click on the link below and follow the detailed instructions. You will have a choice of attending in person or telephonically; you must register to obtain a dial in phone number.

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 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.

Register today for the 2019 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program— comprised of two weeklong residential courses, which are delivered at Georgetown University's McDonough School of Business in Washington, DC. This program provides an executive educational experience that covers the theory and practical application of securities laws and regulation through intensive instruction, discussion and case studies.

  • Week I • July 21 – 26, 2019
  • Week II • November 17 – 22, 2019

Watch our latest video to learn more about the CRCP® program and get answers to the most frequently asked questions about the program. Visit FINRA's website for additional details and registration information.

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