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Guidance
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Upcoming Deadlines and Effective Dates
• SEC Request for Comment
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Education and Compliance Programs
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FINRA’s new FINRA 101 video series—a resource for investors on a range of topics—is now available for member firms to share with their customers. Find the videos on YouTube at the following links to embed them on your website or share via social media.
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Guidance
FINRA’s latest Information Notice provides information to remind registered persons and firms of the new requirements regarding the Continuing Education (CE) Regulatory Element, including: this year’s training assignments and completion deadline of December 31, 2023; the consequences of not completing required annual training and CE inactive status; and resources available to firms for facilitating compliance with the new annual Regulatory Element requirements.
As a reminder, FINRA recently launched a new fast account switching capability in FINRA Gateway to allow users who support multiple broker-dealer and investment advisor accounts to quickly switch between accounts without re-entering their password. Visit FINRA’s Fast Accounting Switching page for details.
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Upcoming Deadlines and Effective Dates
SEC Request for Comment
The SEC requests comment on FINRA’s proposal to amend FINRA Rule 4210 (Margin Requirements) to provide margin relief for specified index option transactions, known as “protected options,” and to make other minor conforming revisions with regard to the margin relief. Comments are due August 9, 2023. See the Federal Register notice.
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Education and Compliance Programs
Grab your seat! In-person registration and disclosure trainings return with back-to-back sessions this fall. Additional sessions have been scheduled for the ever-popular Registration Systems Foundation In-Person Training and Disclosure Reporting In-Person Boot Camp, both of which have back-to-back sessions scheduled this fall in New York, NY and Columbus, OH.
- Registration Systems Foundations Training is a one-day training for firm compliance personnel who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms.
- The Disclosure Reporting Boot Camp includes two days of comprehensive training on disclosure reporting topics, including determining reportability and responding to FINRA disclosure letters.
Space is limited, so register early.
Register now for FINRA’s Firm Grouping Conference on October 9-10, in Kissimmee, FL. This in-person event designed to provide FINRA member firms the opportunity to engage in conversations and discuss risk and compliance on key topics tailored to each firm grouping (Retail, Capital Markets & Investment Banking, Clearing & Carrying, Diversified and Trading & Execution). This conference also offers networking opportunities to meet with other professionals across firm segments and FINRA senior leadership including a significant presence of Member Supervision officers and senior directors.
Week II of the 2023 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program is almost sold out! Reserve your spot now and join us November 12-17. This weeklong course focuses on advanced-level regulatory and compliance topics. Looking ahead? Registration is open for Week I in 2024.
Register for all of FINRA’s upcoming events:
- Virtual Registration Systems Foundation Training | Aug. 9-10, 2023 | Virtual – Waitlist Now Open!
- In-Person Registration Systems Foundation Training
- Sept. 19 | 8 a.m. – 5 p.m. ET | New York, NY
- Oct. 17 | 8 a.m. – 5 p.m. ET | Columbus, OH
- Disclosure Reporting In-Person Boot Camp
- Sept. 20-21 | 8 a.m. – 5 p.m. ET | New York, NY
- Oct. 18-19 | 8 a.m. – 5 p.m. ET | Columbus, OH
- Firm Grouping Conference | Oct. 9 – 10, 2023 | Kissimmee, FL | In-Person Only
- Small Firm Conference | Oct. 25 – 26, 2023 | Santa Monica, CA | Hybrid Event
- FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program | Washington, DC
- 2024 Annual Conference | May 14 – 16 | Washington, DC | Hybrid Event
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