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Annual Verification in the FINRA Contact System is January 25, 2019

January 16, 2019
Volume 3

  • UPC Advisory
disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates
  • 2019 Renewal Program

Education and Compliance Programs

Firms are required to complete an annual verification of their contact information within the first 17 business days of each calendar year. The deadline for firms to complete the annual verification in the FINRA Contact System (FCS) is January 25, 2019. If you need instructions on performing the review, see the FCS Annual Review Guide.

Rule 4517 requires firms to update designated contact information promptly upon any material change, verify such information annually and comply promptly with any request for such information via FCS.



UPC Advisory

The following UPC Advisory was published in the past week:

  • UPC #01-19 Red Mountain Resources, Inc. (RDMPQ)
 Disciplinary Actions

FINRA publishes disciplinary actions to remind registered representatives and firms of specific conduct that violates FINRA rules and may result in disciplinary action. FINRA posted the following disciplinary item on the website this week:

 Upcoming Deadlines and Effective Dates

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

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 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.

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.

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


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Regulatory Contacts
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