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FINRA Board of Governors Update; Registration Systems Cloud Migration Schedule

March 13, 2019
Volume 11
 
 
guidance

Guidance
  • Update: Mark-Up Disclosure and TRACE FAQ
upcoming

Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment
education

Education and Compliance Programs


FINRA's registration systems are migrating to the cloud. Migration of FINRA systems to the cloud is an essential component of our ongoing transformation effort. Due to the complexity and amount of data involved, the migration will require three weekends in April to complete. During this time, Web CRD, IARD, PFRD and FPRD will be unavailable to all users. Please refer to our availability schedule for the complete list of dates and hours for these planned outages.
 



FINRA's Board of Governors met for the first time this year to discuss the organization’s finances, review several significant technology and other capital initiatives, and consider two rulemaking items. The Board approved moving forward with proposing new rules related to firms that have a disproportionately high number of regulatory disclosure events by the firm and/or its registered representatives. As a next step in the rulemaking process, FINRA will soon publish a Regulatory Notice seeking comment on the rules. The Board also approved filing with the SEC proposed amendments to the Trade Reporting and Compliance Engine (TRACE) Rules to enhance collection and dissemination of new issue reference data for corporate bonds and charge associated fees. The proposal responds to a recommendation by the SEC’s Fixed Income Market Structure Advisory Committee.
 

 Guidance

Update: Mark-Up Disclosure and TRACE FAQ

FINRA has updated the Fixed Income Confirmation Disclosure: Frequently Asked Questions (FAQ) and the Frequently Asked Questions (FAQ) about the Trade Reporting and Compliance Engine (TRACE).
 

 Upcoming Deadlines and Effective Dates

FINRA Request for Comment

FINRA is conducting a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information), FINRA’s emergency preparedness rule, to assess its effectiveness and efficiency. Regulatory Notice 19-06 outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule. Comments are due April 26, 2019.
 

 Education and Compliance Programs

Register today for an upcoming Member Forum in your region to engage in key discussions with FINRA staff and industry peers around the future landscape of the financial services industry.

There is no cost to attend the forums, but attendance is limited to FINRA firms headquartered in specific regions, and is first come, first served. Register today to attend a forum in your area.


FINRA's Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.

FINRA is hosting three Cybersecurity Half-Day Seminars. Visit FINRA's website to learn more and register.


Registration is now open for FINRA’s new Institutional Conference—designed to bring together industry experts, executives and policymakers to share their specialized knowledge and experiences on topics affecting institutional firms across the country. Join us in-person on September 11 in New York City. Reduced rates are available to the first 50 to register through May 31.


Register 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.

Register today to attend in person or via live online broadcast.


The 2019 Compliance Outreach Program for Municipal Advisors has been rescheduled for Tuesday, May 21, 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.


FINRA is hosting several upcoming Half-Day Compliance Boot Camps across the country, each with different areas of focus. Review the list of upcoming events, or visit FINRA's website for a full list of FINRA's Compliance Boot Camps and to register.

Upcoming Half-Day Compliance Boot Camps:

  • May 23, 2019 | Dallas, TX
  • June 4, 2019 | Chicago, IL
  • June 12, 2019 | New York, NY
  • June 14, 2019 | Tempe, AZ

Register today for the June 12 district compliance event in Boston, MA. This event is designed for compliance and legal professionals at FINRA member firms, and offer an opportunity to hear about current regulatory issues while engaging with District Office staff.


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.

Listen to our podcast to find out what makes the CRCP® program a can't-miss opportunity, and visit FINRA's website for additional details and registration information.


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.


Registration is now open for FINRA's Advertising Regulation Conference—which takes place October 24 – 25, in Washington, DC. Join us in-person or via live broadcast to gain insights on advertisement compliance, and industry developments concerning communications rules and standard advertising practices. Reduced rates are available to the first 100 to register through May 31.


Registration is now open for FINRA's Senior Investor Protection Conference—which takes place November 12, in Washington, DC. This one-day event is dedicated to sharing the most up-to-date regulatory information and effective strategies and solutions for protecting senior investors and vulnerable adults. Discounted registration rates are available to the first 50 to register through June 28.
 

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