FINRA Podcast: April 2014 Monthly Recap

FINRA released a podcast summarizing the latest FINRA notices, compliance resources, and news from April 2014.

The podcast highlighted recent regulatory notices and their topics, including:

• 14-14 and 14-15: FINRA's retrospective rule review and request for comment on the effectiveness and efficiency of its Communications with the Public Rules and Gifts and Gratuities and Non-Cash Compensation Rules;
• 14-16: Securities Industry/Regulatory Council on Continuing Education Issue Firm Element Advisory Update;
• 14-17: Governmental Accounting Standards Board Accounting Support Fee;
• 14-18: New amendments to the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program; and
• 14-19: FINRA's request for comments on a revised proposal that would require a hyperlink to BrokerCheck in online retail communications with the public that are produced by a FINRA member firm.

Additionally, the podcast summarized new FINRA educational initiatives, upcoming conferences (including its annual conference from May 19 to 21), enforcement news, and investor news.

See: FINRA Podcast.Related news: FINRA Launches Retrospective Rule Review: FINRA Regulatory Notices 14-14 and 14-15 (April 8, 2014); FINRA Issues Continuing Education Spring 2014 Firm Element Advisory Update (Regulatory Notice 14-16) (April 11, 2014); FINRA Issues Notice Regarding 2014 GASB Accounting Support Fee (FINRA Regulatory Notice 14-17) (April 21, 2014); FINRA Issues Notice Regarding Amendments to Series 26 Examination Program (Regulatory Notice 14-18) (April 30, 2014); FINRA Issues Notice Regarding Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications with the Public (Regulatory Notice 14-19) (April 30, 2014).