The North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.
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.
This one-day conference was held online on October 28, 2020, and focused on effective practices and tips for complying with FINRA rules — from the unique perspective of small firms.
Register to View the Sessions
Recordings of sessions are available to FINRA member firms and CRCP® graduates.
FINRA Member Firms
Register Now
CRCP Graduates
Register Now
Agenda
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
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. The field will display the All-In Price of
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.
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.
Agenda
Wednesday, October 16
12:00 p.m. – 5:00 p.m.
Registration
1:00 p.m. – 1:05 p.m.
Live Broadcast (multi-viewer)
FINRA Member
must provide valid CRD #
$2,800
REGISTER
FINRA Member (Small Firm)
must provide valid CRD #
$600
REGISTER
Government/Regulator
$2,800
REGISTER
Attorney/Non-Member
$5,000
REGISTER
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
