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FINRA Unscripted Podcast: Digital Experience Transformation

June 12, 2019
Volume 24
 
 
upcoming

Upcoming Deadlines and Effective Dates
  • FINRA Request for Comment
  • FINRA Elections
education

Education and Compliance Programs


Tune in to the FINRA Unscripted podcast to hear FINRA leaders review existing and emerging regulatory topics that impact the broker-dealer industry, as well as other insights into the operations of FINRA.

On this episode, FINRA’s Ivy Ho and Jennifer Duran tell us about FINRA’s Digital Experience Transformation, an initiative to improve how firms interact digitally with FINRA to reduce compliance costs and enable more effective compliance programs. Listen to the podcast.

 


FINRA Foundation honors top student researchers for advancing understanding of financial capability. The FINRA Investor Education Foundation announced the recipients of its higher-education awards created to recognize outstanding analyses by researchers-in-training who seek to advance understanding of consumer well-being and the complex relationships among financial literacy, financial capability and financial well-being.
 



FINRA reminds firms to register for CAT reporting by June 27, 2019. FINRA issued Regulatory Notice 19-19 to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting obligation must register during this window.

All questions regarding CAT registration should be directed to the FINRA CAT Helpdesk at (888) 696-3348 or [email protected].

 

 Upcoming Deadlines and Effective Dates

FINRA Request for Comment

As part of FINRA’s ongoing initiatives to protect investors from misconduct, FINRA has issued Regulatory Notice 19-17 to request comment on proposed new Rule 4111 (Restricted Firm Obligations) that would impose tailored obligations, including possible financial requirements, on designated member firms that cross specified numeric disclosure-event thresholds. These thresholds were developed through a thorough analysis and are based on the number of events at similarly sized peers. The member firms that could be subject to these obligations, while small in number, present heightened risk of harm to investors and their activities may undermine confidence in the securities markets as a whole. The proposal would further promote investor protection and market integrity and give FINRA another tool to incentivize member firms to comply with regulatory requirements and to pay arbitration awards. Comments are due July 1, 2019.


FINRA Elections

The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors. A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 19, 2019. The purpose of Election Notice 5/24/19 is to notify FINRA members of the FINRA Nominating Committee’s nominees to fill these vacancies and inform individuals not nominated by the Nominating Committee of the petition procedures set forth in FINRA’s By-Laws for being included on the ballot for these elections. Petitions must be submitted no later than Monday, July 8, 2019.
 

 Education and Compliance Programs

Register today for the 2019 National Compliance Outreach Program for Broker-Dealers. The program, sponsored by FINRA and the SEC, is designed to provide an open forum for regulators and industry professionals to discuss current compliance practices and promote an effective compliance structure for the protection of investors. The event will be held on June 27, 2019, in Chicago, IL. Download the full agenda. Participate in person or via live video webcast.


FINRA is hosting several upcoming Half-Day Compliance Boot Camps, AML Half-Day Seminars and Cybersecurity Half-Day Seminars across the country.

Half-Day Compliance Boot Camps

  • July 16, 2019 | Boca Raton, FL
  • August 8, 2019 | Del Mar, CA
  • September 17, 2019 | Minneapolis, MN
  • September 17, 2019 | Baltimore, MD

AML Half-Day Seminar

  • September 19, 2019 | Chicago, IL

Cybersecurity Half-Day Seminars

  • August 27, 2019 | Costa Mesa, CA
  • September 26, 2019 | Boca Raton, FL

District compliance events are 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. Upcoming events will be held in the Los Angeles, Woodbridge and Atlanta District Offices.

Review the compliance calendar to see a complete list of events.


Register today for the 2019 Institutional Conference on September 11 in New York. The event will bring together industry experts, executives and policymakers to discuss topics affecting institutional firms across the country. Download the agenda.


Register today for the 2019 Small Firm Conferencewhich takes place October 23–24 in Santa Monica, CA. This two-day event brings together FINRA staff and industry peers for in-depth discussions on small firms' practices.


Registration is now open for the 2020 FINRA Annual Conference—which takes place May 12–14 in Washington, DC. Join leaders of firms of all sizes, compliance professionals, securities attorneys, government officials, FINRA senior leaders and representatives from other securities regulators for a three-day event dedicated to the most important issues affecting the securities industry.

Reduced rates are available for the first 100 in-person registrants through October 4, 2019. Register today.


Also coming up:

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