FINRA Podcast: September 2013 Monthly Recap

FINRA released a podcast summarizing the latest FINRA notices, news, and compliance resources for September 2013. The latest FINRA notices discussed in the podcast include FINRA's recent request for comments on a revised proposal membership about application proceedings, which would transfer current NASD membership proceeding rules into the FINRA rulebook. The podcast also summarized recently released compliance resources from FINRA, including two new videos and a live video webinar and suitability program discussing methods for complying with the suitability rule. The podcast concluded with a brief summary of FINRA's latest investor news, including a report posted on their website titled, "Financial Fraud and Fraud Susceptibility in the U.S." and a new investor podcast titled, "Take Financial Control: Track Your Spending." (See links below for topics in the FINRA podcast previously covered in Cabinet news.)

Click here for FINRA's September 2013 Monthly Recap Podcast. Related News: FINRA Regulatory Notice 13-30: SEC Approves Amendments to Customer Arbitration Code (September 23, 2013); FINRA Podcast: A Few Minutes with FINRA (Primarily on Its Examination Program) (September 24, 2013); FINRA Regulatory Notice 13-31: Examination Approaches, Common Findings and Effective Practices for Complying with Suitability Rule (with Lofchie Comment) (September 25, 2013); FINRA Seeks Cease and Desist Order against John Carris Investments for Fraud (September 30, 2013); FINRA Podcast: A Few Minutes with FINRA Featuring Chief Economist Jonathan Sokobin (October 1, 2013).