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FINRA Unscripted Podcast: Behind the Scenes, FINRA's Board of Governors

January 9, 2019
Volume 2

  • Notices

Upcoming Deadlines and Effective Dates
  • SEC Request for Comment on FINRA Rules
  • 2019 Renewal Program

Education and Compliance Programs

Only one week left to register for the FINRA RegTech Conference, which takes place January 17 in New York City. The conference—a forum for regulators, thought leaders and industry practitioners to learn more about the use of RegTech tools, and related opportunities and challenges—features FINRA Chief Legal Officer Bob Colby and Andrew Gray, Managing Director and Group Chief Risk Officer, Depository Trust & Clearing Corporation. Download the updated conference brochure, which includes the full agenda, session descriptions and confirmed speakers.

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. 

On this episode, Marcia Asquith, FINRA’s senior vice president of Board and External Relations, discusses the role of the FINRA Board of Governors and the Board’s 2019 priorities. Listen to the podcast.



FINRA Updates Supplemental Statement of Income

FINRA updated the Supplemental Statement of Income (SSOI) to conform with amendments adopted by the SEC that simplify and update certain of the FOCUS reporting requirements for broker-dealers. Pursuant to Rule 4524, the SSOI must be filed by all FINRA members as a supplement to the FOCUS

Report within 20 business days after the end of each calendar quarter.  Regulatory Notice 19-02 provides the updated SSOI instructions and form, as well as a resource that illustrates the SSOI form updates.

The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.

U.S. Treasury Security Auction Awards

FINRA published Trade Reporting Notice 1/9/19 to remind members of the transaction reporting requirements related to U.S. Treasury Security auction transactions and highlights the publication of further clarifying frequently asked questions (FAQ). FINRA also updated the Frequently Asked Questions about the Trade Reporting and Compliance Engine (TRACE) to clarify the trade reporting obligations for U.S. Treasury Securities.

 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.

2019 Renewal Program

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.

 Education and Compliance Programs

Registration is now open for the 2019 FINRA Diversity Summit, which takes place Tuesday, April 2 in New York City. This free one-day program provides a forum for business leaders, diversity practitioners and human resource professionals in the financial services industry to explore a variety of corporate practices, strategies, and outreach efforts intended to leverage the benefits of building sustainable diversity and inclusion programs.

Space is limited and available on a first-come, first-served basis, with a preference given to those employed or associated with a FINRA member broker-dealer firm. Register soon to reserve your seat.

Register early for the Annual Conference, which takes place May 15-17, 2019, in Washington, DC. This year's conference features more than 50 sessions and five session tracks geared towards various business models and firm sizes. Join us to hear valuable insights on today’s most timely topics, featuring a keynote address from FINRA President and CEO Robert Cook and Author of The Pursuit of Happyness Chris Gardner.

Topics include:

  • Anti-Money Laundering (AML)
  • FinTech
  • Fixed Income
  • Cybersecurity
  • And much more

Reduced rates are available for the first 500 in-person registrants before March 29, 2019. Register today.

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.

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.

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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