FINRA Podcast: January 2014 Monthly Recap

FINRA released a podcast summarizing the latest FINRA notices, compliance resources and news from January 2014.

The podcast discussed recent FINRA Regulatory Notices, including:

• Notice 14-01 on Final Renewal Statements for broker-dealers and investment advisors;
• Notice 14-02, which requested comments by February 26, 2014, on amendments to Rule 4210 that reconsider the margin requirements applicable to TBA and other agency transactions;
• Notice 14-03, which published a new tiered rate schedule for processing unit fees, intermediary unit fees, beneficial ownership and non-objecting beneficial owner fees, preference management fees, and notice and access fees regarding amended FINRA Rule 2251; and
• Notice 14-04 on the SEC-approved amendments to FINRA Rules 6271 ("Registration as an ADF Market Maker or ADF ECN") and 6272 ("Character of Quotations") that govern registration in and participation on the Alternative Display Facility ("ADF"), which became effective on February 3, 2014.

Additionally, the podcast announced FINRA events, including an upcoming video webinar on February 26, 2014, to discuss changes to the recently approved consolidated rules for supervision, an options regulation conference on February 6, and a fixed income conference on March 11 to discuss electronic trading, best execution and enforcement priorities.

The podcast also discussed recent FINRA litigation and investor news, including a recent Investor Alert containing 10 tips for IRA rollovers.

See: FINRA January 2014 Monthly Recap Podcast.Related news: SEC Approves FINRA Proposal to Consolidate Supervision Rules (with Lofchie Comment) (December 24, 2013); FINRA Regulatory Notice 14-01: Final Renewal Statements for Broker-Dealers and IA (January 2, 2014); FINRA Issues Investor Alert Regarding IRA Rollovers (January 23, 2014); FINRA Proposes Amended Margin Requirements for TBAs: FINRA Regulatory Notice 14-02 (with Patel Comment) (January 27, 2014); FINRA Regulatory Notice 14-03: FINRA Amends Rule 2251 Regarding Proxy Rate Reimbursement and Enhanced Brokers' Internet Platforms (January 30, 2014); Filing Requirements for ADF Market Makers: FINRA Regulatory Notice 14-04 (January 31, 2014).