FINRA Podcast: January 2015 Monthly Recap

FINRA released a podcast summarizing the latest notices, compliance resources and news from January 2015.

FINRA reminded members that final renewal statements for broker-dealers and investment advisers are available on FINRA's Web CRD and IARD, and that more information is outlined in FINRA Regulatory Notice 15-01. FINRA also reminded members of new amendments regarding customer account statements, direct participation programs and real estate trust securities in FINRA Regulatory Notice 15-02.

Additionally, FINRA noted that, starting on February 14, 2015, the Section 31 fee will be reduced to $18.40 per $1,000,000 in transactions.

FINRA also announced various conferences, including the following:

• the FINRA/SIFMA Cybersecurity Conference on February 4, 2015;
• the Fixed Income Conference on March 10, 2015; and
• the FINRA 2015 Annual Conference from May 27 to 29, 2015.

See: Podcast; Transcript of Podcast.Related news: FINRA Podcast: December 2014 Monthly Recap (January 7, 2015); FINRA Issues Final Renewal Statements and Fees for Registered Entities (Notice 15-01) (January 5, 2015); SEC Approves FINRA-Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities (Notice 15-02) (January 5, 2015).