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FINRA has Posted the 2019 Final Renewal Statements in E-Bill

January 2, 2019
Volume 1

Upcoming Deadlines and Effective Dates
  • SEC Request for Comment on FINRA Rules

Education and Compliance Programs

Fingerprint Fee Change: As of January 1, 2019, the FBI fingerprint fee increased from $10.00 to $11.50. Please visit the Fingerprint Fees page for more information about how this affects the cost of fingerprint submissions to FINRA.

FINRA has posted the 2019 Final Renewal Statements in E-Bill. Adjustments resulting from registration approvals or terminations as of December 31, 2018, are included in this final statement. The payment deadline is January 21, 2019, for firms that have a balance due. See Regulatory Notice 19-01 and visit the 2019 Renewal Program page for details.

 Upcoming Deadlines and Effective Dates

SEC Requests for Comment on FINRA Rule

The SEC requests comment on FINRA’s proposal to amend paragraph (a)(3) of FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures and to clarify the scope of the rule. The comment period expires January 9, 2019. See the Federal Register notice.

 Education and Compliance Programs

The CTCI migration conference call has been re-scheduled to Wednesday, Jan. 30 2019, 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 before or during the call to [email protected].

Please note: registration is required for all participants, including those who had registered for the call that was postponed. Signing up to participate is quick and easy. There are a limited number of lines available for this call. Please register as soon as possible and plan to share a phone line with others at your firm to help FINRA maximize participation.

Only two weeks left to register 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 and features FINRA President and CEO Robert Cook; The Honorable Hester M. Peirce, Commissioner, U.S. Securities and Exchange Commission; FINRA Chief Legal Officer Bob Colby and Andrew Gray, Managing Director and Group Chief Risk Officer, Depository Trust & Clearing Corporation. Download the conference brochure, which includes the full agenda and session descriptions.

Registration is now open for the Compliance Outreach Program for Municipal Advisors—which takes place February 7, 2019, in San Francisco, CA. This free one-day program is designed to provide an open forum for municipal advisory industry professionals to discuss current compliance practices with regulators and promote a more effective compliance structure for regulatory obligations of municipal advisors. The program is sponsored by the SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Office of Municipal Securities, FINRA and the MSRB.

Register today to attend in person or via live audio webcast.

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.

Mark your calendar as FINRA’s Small Firm Conference returns October 23 – 24, 2019 in Santa Monica, CA. This conference features in-depth discussion on small firms’ practices and tips for complying with FINRA rules.

Discounted rates available—register early to secure your seat

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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