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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 is offering five scholarships to industry professionals from small firms to attend the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program. The scholarship covers full tuition for the entire CRCP program, including room and board. The Small Firm Scholarship application period is now open through September 15, 2023. For more information, including eligibility requirements, the selection process and our online application, please visit our Small Firm Scholarship web page.
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The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) have announced the recipients of 2023 FINRA Foundation Military Spouse Fellowship.
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Guidance
FINRA highlighted a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
Per Regulatory Notice 23-14, FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. The amendments become effective on May 22, 2024.
As a reminder, FINRA CAT, LLC recently published a roadmap to assist small firms with meeting their Customer and Account Information System (CAIS) reporting obligations by the compliance date of May 31, 2024. The roadmap lays out the steps necessary to prepare to submit full customer and account information to the CAT CAIS.
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Upcoming Deadlines and Effective Dates
Web EFT Retires November 2024
This is a reminder to firms using the legacy Web EFT service that effective November 15, 2024, all associated XML file upload and download functionality will be completely retired. Current Web EFT subscribers wishing to continue making automated data transfers with FINRA must transition to using the new FINRA API platform. Key milestones and frequently asked questions are on the platform’s Web EFT Sunset page.
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Education and Compliance Programs
Registration is Open for the FINRA Diversity Leadership Summit
The FINRA Diversity Leadership Summit is back on October 31 – November 2 in a virtual format—with sessions on the intersection of DEI and artificial intelligence; the latest research about investors from a range of backgrounds; insights from DEI practitioners and thought leaders, as well as FINRA CEO Robert Cook and heads of other regulatory organizations; and more. Attendance is free, but pre-registration is required. Register today.
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 Foundation 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.
Week II of the 2023 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program has sold out! Register now to join the waitlist. This weeklong course, held November 12 – 17, 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 | Oct. 4 – 5, 2023 | Virtual
- FINRA Registration Systems Foundation In-Person Training
- Sept. 19, 2023 | 8 a.m. – 5 p.m. ET | New York, NY
- Oct. 17, 2023 | 8 – 5 p.m. ET | Columbus, OH
- FINRA Disclosure Reporting In-Person Boot Camp
- Sept. 20 – 21, 2023 | 8 – 5 p.m. ET | New York, NY
- Oct. 18 – 19, 2023 | 8 – 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
- Diversity Leadership Summit | Oct. 31 – Nov. 2, 2023 | Virtual Event
- FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program | Washington, DC
- Week II | Nov. 12 – 17, 2023 – Waitlist Available
- Week I | July 14 – 19, 2024
- 2024 Annual Conference | May 14 – 16 | Washington, DC | Hybrid Event
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