FINRA Podcast: "Spring 2014 Firm Element Advisory - Part 2"

FINRA released the final podcast in a two-part series that discusses topics for firms to consider when planning their firm element training, as identified in the CE Council's Spring 2014 Firm Element Advisory.

The podcast focused on:

• municipal securities updates, including the SEC's approval of new multiple MSRB rules and rule amendments, which include the rules that address time of trade disclosure obligations and sophisticated market professionals, amendments to MSRB Form A12, a new MSRB rule on reporting information on municipal fund securities and other changes;
• registration and disclosure updates, including the SEC's approval of changes to expand BrokerCheck details available to investors, amendments to Form BR, and FINRA's revisions to the Series 6, 55 and 16 examination programs; and
• transaction reporting and data decimation updates, such as the extension of the effective date for compliance with certain new data elements for electronic blue sheets, as well as the recent SEC approval of changes to TRACE.

See: FINRA Podcast; Transcript of Podcast. Related news: FINRA Issues Part 1 of Continuing Education Podcast: "Spring 2014 Firm Element Advisory" (June 3, 2014).