FINRA Podcast: July 2014 Monthly Recap

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

The podcast highlighted recent regulatory notices, including the following:

• 14-31, which addressed FINRA's new rule prohibiting member firms and registered representatives, who want customer disputes expunged from the Central Registration Depository, from "offering customers a settlement or other compensation for consenting to or not opposing the expungement";
• 14-30, which addressed amendments to FINRA Rule 2210 ("Communications with the Public") to exclude research reports on exchange-listed securities, other than research reports that must be filed pursuant to Investment Company Act Section 24(b), from filing requirements; and
• 14-29, which solicited comments on a proposal to make a repository Form 211.

Additionally, the podcast summarized new FINRA educational initiatives, the upcoming annual meeting on August 14, 2014 in Washington, D.C., and enforcement and investor news.

See: Transcript of Podcast; Listen to Podcast.