Summary - FINRA provides a library of brief video segments in which senior FINRA staff discuss timely regulatory topics and respond to comments from firms on specific areas of concern.
These videos are available on the FINRA website. The topics are diverse and offer different perspectives on topics regarding accounting regulations.
For more information, please click here.
Summary - FINRA provides a 'Small Firm Cybersecurity Checklist' in their effort toward protecting the data of investors. FINRA's cybersecurity program supports the following according to its website:
The checklist, which is primarily derived from the National Institute of Standards and Technology (NIST) Cybersecurity Framework and FINRA’s Report on Cybersecurity Practices, is available online.
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Summary - FINRA offers a Compliance Calendar complete with upcoming deadlines and events. Recent enhancements to the calendar, per the FINRA website, include:
For more information, please click here.
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Unscripted: FINRA's Official Podcast
FINRA offers a resource known as Unscripted, a podcast that discusses regulatory topics. Per the FINRA website, "Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure."
For more information, click here.
FINRA released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review conducted by FINRA on the emergence of RegTech tools within the securities industry and summarizes the study’s key findings. Notably, FINRA highlights five areas where industry participants have most prominently leveraged RegTech innovations: surveillance and monitoring, customer identification and antimoney laundering compliance, regulatory intelligence, reporting and risk management and investor risk assessment.
For more information, click here.