FINRA Regulatory Notice 17-16 FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
FINRA seeks comment on proposed amendments to FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to create a limited safe harbor for specified brief, written analysis distributed to eligible institutional investors that comes from sales and trading or principal trading personnel but that may rise to the level of a research report (desk commentary). The proposed safe harbor would be subject to conditions, including compliance with a number of the Rule 2241 or Rule 2242 provisions to mitigate research-related conflicts. In addition, the proposed safe harbor would require firms to include a “health warning” on desk commentary and to obtain negative consent from eligible institutional investors to receive such commentary. FINRA encourages all interested parties to comment on the proposal. Comments must be received by May 30, 2017.
As announced in FINRA Regulatory Notice 15-28, as part of the transition to CE Online, FINRA is phasing out test center delivery of the Regulatory Element of Continuing Education (CE). This change will become effective on July 1, 2016. As of that date, the option to complete the Regulatory Element at a Pearson VUE or a Prometric testing center will no longer be available, and participants with an open Regulatory Element window must complete their session using the FINRA CE Online System® with the exception of participants who, pursuant to the Americans with Disabilities Act (ADA), may need accommodations in completing their CE session due to a disability.
Continuing Education: Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA will implement the new S901 Regulatory Element Program for Operations Professionals, the continuing education requirement for Series 99 registered persons who do not hold any other FINRA registration, on October 17, 2013.
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
FINRA Revises the Series 16 Examination Program Implementation Date: October 28, 2013
Suggested practices insubmitting of Financial Disclosures to EMMA
SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges. The effective date is July 22, 2013.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Continuing Education Planning
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