Webinar Series: Disclosure Reporting

Join us during this webinar series as we discuss topics related to disclosure reporting. These sessions are designed for compliance professionals who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives.

Session-specific webinar details will be provided below as future dates in the series are announced. Recordings of previous webinars in this series are also available on this page. For announcements about similar events, please sign up for the Registration and Testing Information subscription list.

Upcoming Webinars

There are no upcoming webinars scheduled at this time.

Previous Webinars

Disclosure Reporting: CHRI and Criminal Documents

Compliance professionals at member firms are invited to listen in as FINRA staff discusses reviewing Criminal History Record Information (CHRI) reports and submitting criminal documents in response to disclosure requests.

View the recording and the presentation slides from the November 2022 session.

Disclosure Reporting: Criminal Events

During this webinar, FINRA provides guidance on reporting criminal matters and a review of the expungement process.

View the recording and the presentation slides from the August 2022 session.

Disclosure Reporting: Customer Complaints

During this webinar, FINRA provides guidance on reporting customer complaints, arbitrations and civil litigations in FINRA Gateway and 4530 reporting.

View the recording and the presentation slides from the March 2022 session.

Update: Slide 7 in the presentation above session states: "Any removal ('deleting') of customer dispute information is governed by FINRA Rule 2080." Effective Oct. 16, 2023, FINRA revised the Codes of Arbitration Procedure to modify the process relating to the expungement of customer dispute information. The grounds for awarding expungement identified in FINRA Rule 2080(b)(1) have not changed. However, they have been incorporated into FINRA Rules 12805(c)(8)(A)(i) and 13805(c)(9)(A)(i). Please review Regulatory Notice 23-12 or the Expungement of Customer Dispute Information page for details.

Disclosure Reporting: Financial Events

During this webinar, FINRA provides guidance on reporting bankruptcy and compromise with creditor events, judgments and liens.

View the recording and the presentation slides from the March 2023 session.

Disclosure Reporting: Regulatory Actions

During this webinar, FINRA provides guidance on reporting investigations, pending and final regulatory events, required document submission and a Statutory Disqualification overview.