FINRA Podcast: February 2015 Monthly Recap

FINRA released a podcast summarizing the latest notices, compliance resources and news from February 2015.

The podcast highlights two recent regulatory notices: (i) Notice 15-03, which requests comments on a FINRA proposal to require alternative trading systems to submit quotation information about fixed-income securities to FINRA, and (ii) Notice 15-04, which requests comments on a FINRA proposal to disseminate additional securitized products and reduce the reporting timeframe.

The podcast also mentions FINRA's new video in its ongoing series titled "A Few Minutes with FINRA." This latest video expands on certain key topics that were discussed in FINRA's 2015 Annual Regulatory Examination Priorities Letter. The podcast also notes FINRA's recent cybersecurity report, which provides "effective practices" that firms should consider to strengthen cybersecurity and describes a risk-management-based approach that firms can use to tailor their own programs. FINRA also released an Investor Alert titled "Cybersecurity and Your Brokerage Firm," which encourages investors to understand a firm's cybersecurity policies.

See: Transcript of Podcast; Listen to Podcast.See also: FINRA Requests Comment on Proposal to Require ATSs to Submit Quotation Information Relating to Fixed Income Securities (FINRA Reg. Notice 15-03) (February 6, 2015); FINRA Requests Comments on Proposal to Disseminate Additional Securitized Products (FINRA Reg. Notice 15-04) (February 10, 2015); SEC and FINRA Issue Cybersecurity Publications (with Delta Strategy Group Summary) (February 3, 2015).