FINRA Requests Comments on Rule Governing Annual Compliance Meetings

FINRA is seeking comments on a review of the provision of FINRA Rule 3110 that requires registered persons to attend an annual compliance meeting or interview at which compliance matters specific to the individual are discussed. Attendance may be either in person or through "electronic means" (e.g., through a video conference or webcast). FINRA is soliciting feedback on, among other things, the economic impact of the rule, the compliance challenges of in-person versus electronic attendance, and the efficacy of the rule generally.

Comments must be received by June 25, 2018.