FINRA Podcast: October 2013 Monthly Recap

FINRA released a podcast summarizing the latest FINRA notices, news and compliance resources for October 2013. The recent news discussed in the podcast included FINRA's request for comments regarding portal funding rules and regulated forms that regulate Crowdfunding proposals. FINRA stated that these new rules mirror the SEC's proposed Crowdfunding regulations. Additionally, the podcast summarized recently released compliance resources, including a new video, "A Few Minutes with FINRA," and a speech with FINRA CEO, Rick Ketchum, both of which discussed the Conflicts of Interest Report. In closing, FINRA announced the dates and locations for two upcoming conferences: The Fixed Income Conference, which will be held in New York City on March 11, 2014, and FINRA's Annual Conference, which will be held in Washington, D.C. on May 19-21, 2014. (See links below for topics in the FINRA podcast that were previously covered in Cabinet news.)

See: FINRA Podcast: October 2013 Monthly Recap.Related News: FINRA Regulatory Notice 13-34: Request for Comment on Proposed Funding Portal Rules for Crowdfunding (October 23, 2013); FINRA's Rick Ketchum: Think Like Billy Beane and Unleash the Power of Data; A New Era of Regulation (with Lofchie Comment) (October 28, 2013).