2019 Institutional Conference

FINRA’s Institutional Conference brings together industry experts, executives and policymakers to share their specialized knowledge and experiences on topics affecting institutional firms across the country. This one-day conference is designed to facilitate meaningful dialogue on a range of topics in an educational format that encourages the exchange of ideas and opinions. The conference also offers participants opportunities to interact, share effective practices and learn from representatives from institutional firms, regulators and exhibitors.

Regulatory Notice 19-20

Summary

The Securities and Exchange Commission (SEC) approved1 amendments to FINRA’s customer and industry arbitration rules to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents. The amendments also make related changes to enhance the discovery process for forum users.

The amendments are effective for cases filed on or after July 1, 2019.

Questions concerning this Notice should be directed to:

FINRA District Compliance Seminar With the State of Pennsylvania

FINRA’s District Compliance Seminar with the State of Pennsylvania offers a comprehensive agenda designed for new and experienced compliance and legal professionals. Industry and regulatory speakers facilitate an interactive discussion on regulatory rules and effective practices. This half-day event also includes opportunities to network with industry peers and FINRA District Office staff.

Download the 2019 District Compliance Seminar brochure.

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