Deadline for Comments on Regulatory Notice 19-12
FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
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:
Compliance Tools
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Our compliance tools and resources come in many forms, including templates, checklists and guides. These optional tools may assist member firms with:
Technical NoticeUpdate - TRACE for Treasuries User Guide
May 24, 2019
As stated in the May 7, 2019 TRACE Technical Notice, FINRA updated the TRACE for Treasuries User Guide to coincide with the addition of an “All-In Price” field. This field will be located in the Matched and Unmatched Screens on the TRAQS website beginning Monday, June 10, 2019. FINRA previously advertised June 3, 2019 for the new field to be in effect.
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.
2019 Annual Conference Live Broadcast Registration
Live Broadcast (multi-viewer)
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must provide valid CRD #
$2,800
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2019 Advertising Regulation Conference
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulations. This year’s conference also includes opportunities to network with industry peers and meet one-on-one with Advertising Regulation Department staff during office hours and throughout the event.