FINRA Recaps Key Regulatory Notices in Monthly Podcast
FINRA summarized its latest regulatory notices, guidance, resources and news in an April 2017 Monthly Recap Podcast.
The podcast summarized recent FINRA Regulatory Notices, including the following:
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17-11, which detailed changes intended to protect at-risk customers from exploitation (see FINRA Rules 2165 and 4512);
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17-12, on updates to the Regulatory Extension system and an amendment to Exchange Act Rule 15c6-1(a), which shortens the standard settlement cycle for many broker-dealer transactions;
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17-13, on revisions to FINRA's Sanction Guidelines;
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17-14, 17-15 and 17-16, which solicited comments on three proposals related to capital formation;
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17-17, which described updates to forms used to file documents pursuant to FINRA Rules 5122 and 5123; and
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17-18, which presented guidance on FINRA rules related to digital communications.
FINRA also reminded firms of additional resources that are available on the FINRA website, including a podcast addressing the 2017 Examination Priorities Letter.
The podcast noted two recent Investor Alerts concerning Treasury Securities and recourse options for victims of investment fraud.
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FINRA issued additional guidance to member firms on the application of its rules to social media and digital communications.
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FINRA released a copy of the revised Private Placement Filer Form, including amended questions relating to information about participating members, issuers, and offerings. FINRA will begin using the updated form on May 22, 2017.
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FINRA issued three regulatory notices and requested comments on (i) rules governing capital raising, (ii) proposed amendments for underwriting arrangements, and (iii) a proposed limited safe harbor from research rules for desk commentary.
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FINRA notified member firms that the SEC approved rule amendments intended to increase the ability of broker-dealers to prevent the financial exploitation of senior citizens and other vulnerable adults.
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