FINRA Podcast: December 2013 Monthly Recap

FINRA has released a podcast summarizing the latest FINRA notices, news and compliance resources for December 2013. See the links below for topics in the FINRA podcast that were previously covered in the Cabinet News.

See: FINRA Podcast.Related news: FINRA Files Amendment to Proposed Rule Change Relating to Wash Sale Transaction, Self-Trades and FINRA Rule 5210 (December 4, 2013); FINRA Files Proposed Rule Change to Update Rules Governing ADF (December 20, 2013); FINRA Fines Broker-Dealer Firm for Sales of Non-Traditional ETFs and Mutual Fund Switching (with Lofchie Comment) (December 5, 2013); FINRA Penalizes Firm and Trader for Unfair Prices in Municipal and Supervisory Violations (December 9, 2013) FINRA Charges and Fines Clearing Firm for AML, SHO and Capital Violations (December 16, 2013) FINRA Fines Firm for "Operational Deficiencies" (December 19, 2013) FINRA Fines Financial Institution for Systemic Record and E-mail Retention Failures (December 26, 2013); FINRA Regulatory Notice 13-41: eFOCUS System Updates Applicable to Joint Broker-Dealers/FCMs (December 19, 2013) FINRA Regulatory Notice 13-42: Proposal to Develop Comprehensive Automated Risk Data System (with Lofchie Comment) (December 23, 2013); FINRA Regulatory Notice 13-43: SEC Approves FINRA Rule Regarding Issue Allocations and Distributions, MFA Submits Comment Letter Regarding Amendments (December 23, 2013) FINRA Regulatory Notice 13-45: FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers (December 30, 2013); FINRA Updates the Interpretations of Financial and Operational Rules (with Lofchie Comment) (December 23, 2013); FINRA Fall 2013 Firm Element Advisory Podcast, Part II (December 10, 2013).