FINRA Podcast: Fall 2014 Firm Element Advisory - Part 1

FINRA released the first podcast in a three-part series on topics to consider when planning a Firm Element training, as identified in the CE Council's Fall 2014 Firm Element Advisory.

The podcast reviews recently approved updates to FINRA rules, including:

• the "Communications with the Public" rule;
• amendments to FINRA's rule about transactions related to initial public offerings;
• a new FINRA rule prohibiting firms and their associated people from conditioning, or seeking to condition, a customer settlement on that customer consenting to expunge the dispute information from the Central Registration Depository;
• amendments to the FINRA Codes of Arbitration Procedure; and
• updates to the interpretations of FINRA financial and operational rules.

Furthermore, the podcast discusses a new advisory as to customer accounts: a recent FINRA investor alert regarding "phishing" attacks.

See: FINRA Podcast; Transcription of Podcast.Related news: FINRA Makes Recommendations for Training Programs (FINRA Reg. Notice 14-41) (October 10, 2014); SEC Approves Amendments to Codes of Arbitration Procedure Protecting Personal Confidential Information (FINRA Reg. Notice 14-27) (June 30, 2014); SEC Approves Amendments to Communication with the Public Rule (FINRA Reg. Notice 14-30) (July 11, 2014).