Podcasts about regulatory notice

Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we talk to Jeanette Wingler, FINRA's Special Assistant to the CEO, and Elena Schlickenmaier, a Senior Principal Analyst in Member Supervision, to dig into Regulatory Notice 22-23 on succession planning to hear how and why firms should plan for the expected and unexpected in life.Resources mentioned in this episode:Regulatory Notice 22-23Rule 4370: Business Continuity PlanningRule 2040: Payments to Unregistered PersonsContinuing Membership Application ResourcesFINRA Examination and Risk Monitoring Programs

An efficient capital raising process fosters business expansion, job creation and economic growth. And FINRA's members play an important role in this vital piece of our capital markets. Currently, FINRA's soliciting comments on the impact FINRA's Rules have on the capital formation process, as it looks for ways to increase efficiency and reduce unnecessary burdens. On this episode, we'll dig more into this process and FINRA's recent Request for Comment with Joe Price, Senior Vice President of Corporate Financing and Advertising Regulation, and discuss the recent Regulatory Notice 23-09 on FINRA's Rules impacting capital formation.Resources mentioned in this episode:Reg Notice 23-09: Capital Formation Request for CommentReg Notice 17-14: Request for Comment on FINRA Rules Impacting Capital FormationFINRA RulesSEC EDGAR DatabaseFrequently Asked Questions About Private PlacementsFINRA Board of Governors

In recent months, FINRA has published two Regulatory Notices regarding the fraudulent transfer of customer accounts using an automated system called ACATS. On this episode, we'll hear all about what goes into the creation of a Reg Notice and take a deep dive on this particular issue. Plus, we'll hear about some information that didn't make it into the most recently published Notice.FINRA Unscripted welcomes three new guests, Chris Hunter, Principal Analyst with Risk Monitoring, Emily Kahn, Principal Intelligence Specialist with the Financial Intelligence Unit, and Lindsey Barnett, Senior Principal Investigator with the Special Investigations Unit, to talk about Regulatory Notices 23-06 and 22-21.Resources mentioned in this episode:Reg Notice 23-06: FINRA Shares Effective Practices to Address Risks of Fraudulent TransfersReg Notice 22-21: FINRA Alerts Firms to Recent Trend in Fraudulent Transfers of AccountsReg Notice 21-18: Practices Used to Protect Customers From Online Account Takeover AttemptsReg Notice 20:32: FINRA Reminds Firms to Be Aware of Fraudulent Options TradingRule 11870: Customer Account Transfer ContractsBSA E-filing SystemEpisode 127: FINRA's Risk Monitoring Team

Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we talk to Jeanette Wingler, FINRA's Special Assistant to the CEO, and Elena Schlickenmaier, a Senior Principal Analyst in Member Supervision, to dig into Regulatory Notice 22-23 on succession planning to hear how and why firms should plan for the expected and unexpected in life.Resources mentioned in this episode:Regulatory Notice 22-23Rule 4370: Business Continuity PlanningRule 2040: Payments to Unregistered PersonsContinuing Membership Application ResourcesFINRA Examination and Risk Monitoring Programs

Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization's senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down with Blake Snyder, Senior Director of FINRA's Financial Intelligence Unit, to learn about this new group, and how it is looking to transform how FINRA takes in, analyzes, and shares data.Resources mentioned in this episode:Regulatory Notice 21-14: FINRA Alerts Firms to Recent Increase in ACH “Instant Funds” AbuseRegulatory Notice 20-30: Fraudsters Using Registered Representatives Names to Establish Imposter Websites

The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. The shift has a number of implications when it comes to business continuity plans, the security of firm’s networks and the ability to comply with various rules and requirements. On this episode, our first to be remotely recorded, we talk to FINRA’s Chief Legal Officer Bob Colby and Head of Member Supervision Bari Havlik to learn what FINRA expects at this time and how firms—and FINRA—are adapting to the current situation.Resources mentioned in this episode:Regulatory Notice 20-08: Pandemic-Related Business Continuity Planning, Guidance and Regulatory ReliefRule 4370: BCPs and Emergency Contact InformationCOVID-19 Resource PageCOVID-19 FAQsCybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic

The biggest change to the Continuing Education program in 25 years is underway. The CE Council, FINRA and other CE Council members are working together to improve continuing education for broker dealers with a number of proposed changes, including moving to an annual CE requirement, working to reduce duplication between the firm and regulatory elements of continuing education and providing those who leave the industry a means of maintaining their qualification.On this episode, we hear both the firm and regulatory perspective from our guests, Jeff Freiburger, Chief Compliance Officer at Robert W. Baird and member of the CE Council, and John Kalohn, Senior Advisor to Registration and Disclosure at FINRA. Resources mentioned in this episode:Regulatory Notice 20-05 (Comments Due: April 20, 2020) Letter from the 2019 Council ChairCE CouncilKey Topics: Continuing Education

Extraordinary,* adjective*, very unusual or remarkable. But what does that really mean when it comes to FINRA members, both firms and individual registered representatives alike, looking to receive credit for cooperating on FINRA enforcement matters? On this episode, Susan Schroeder, executive vice president and head of FINRA Enforcement, joins us to discuss new guidance on credit for extraordinary cooperation and to dig into what kind of cooperation is expected and what is considered by FINRA Enforcement. Plus, we hear how FINRA will work to provide more transparency around credit for extraordinary cooperation going forward. Resources mentioned in this episode: Regulatory Notice 19-23: Updated Guidance on Credit for Extraordinary Cooperation Regulatory Notice 08-70: Guidance on Credit for Extraordinary Cooperation Episode 14: Enforcement Guiding Principals Rule 4530: Reporting Requirements

* Use coupon code PODCAST25 for 25% off this webcast * Webcast URL: https://www.theknowledgegroup.org/webcasts/finras-crackdown-on-high-risk-brokers/ In April 2018, the Financial Industry Regulatory Authority (FINRA) issued a guidance on when intensified broker-dealer oversight of associated persons, may be necessary. The guidance proposes rule amendments that would heighten restrictions on member companies employing brokers with history of past misconduct. Reminding broker-dealers of their supervisory responsibilities, Regulatory Notice 18-15 requires FINRA member firms to implement supervisory procedures for associated persons. Our panel of key thought leaders and practitioners organized by The Knowledge Group will offer a discussion of the fundamentals as well as recent updates regarding the latest and significant issues surrounding FINRA's regulation of high-risk brokers. This Webcast aims to help you to avoid common pitfalls and risk issues by adopting best compliance practices in light of the guidance. For anymore information please click on the webcast url at the top of this description.

Schoolhouse Rock taught us how a bill up on Capitol Hill becomes law. Unfortunately, they never got around to explaining how a FINRA rule proposal becomes regulation. In this episode, Phil Shaikun from FINRA’s Office of General Counsel and Jonathan Sokobin, FINRA’s Chief Economist, fill that gap and explain how lawyers and economists are working together to ensure FINRA’s rules are as effective and as tailored as possible. Plus, Shaikun and Sokobin give an inside look into how the FINRA Retrospective Rule Review process works, how rules are selected for review and the myriad of possible outcomes. Resources mentioned in this episode: Retrospective Rule Review SEC Federal Register FINRA Advisory Committees Special Notice on Engagement Regulatory Notice on Membership Application Process (Comments due October 5, 2018) Regulatory Notice and Comments on Outside Business Activities

For Episodes 36 & 37 of the Outstanding Ohioans show, I had the pleasure of interviewing Matt Mayer, President of Opportunity Ohio.  Opportunity Ohio (O2) is dedicated to enhancing prosperity for Ohioans through educating policymakers and citizens. We pay particular attention to the impact of state and local government decisions and how they foster or hinder job creation and economic growth. Our strategic aim is to provide our leaders with sound policies for a better tomorrow. To listen to the show, click on one of the following: Itunes Stitcher Like Outstanding Ohioans on Facebook Matt A. Mayer serves as President of Opportunity Ohio. Previously, Mayer wrote and spoke on national security and federalism issues as a Visiting Fellow with The Heritage Foundation. His Heritage federalism work earned the runner-up prize in the 2012 Better Government Competition. Mayer has been a national policy leader for more than a decade. Mayer is the author of three books.  Mayer’s first book, Homeland Security and Federalism: Protecting America from Outside the Beltway (with Foreward by the Honorable Edwin Meese III), argued for reversing the nationalization of homeland security by returning power to states and localities. His second book, Taxpayers Don’t Stand a Chance: Why Battleground Ohio Loses No Matter Who Wins (And What To Do About It), exposes systemic problems that have made Ohio fall from a national leader to a laggard. His third book, The Founding Debate: Where Should the Power Over Our Lives Reside?, highlights to top five arguments from the Federalist and Anti-Federalist, as well as excerpts from ten key Supreme Court cases, to help readers decide where they think the power should be. Prior to his public policy work, Mayer was a senior official at the U.S. Department of Homeland Security under the leadership of Secretaries Tom Ridge and Michael Chertoff where he provided DHS leaders with policy and operational advice as the Counselor to the Deputy Secretary and where he headed the $3.5 billion terrorism preparedness office charged with developing initiatives to transform America to meet the demands of a post-9/11 environment. Mayer came to DHS from Colorado where he served Governor Bill Owens as the Deputy Director for the Department of Regulatory Agencies. Mayer co-developed Colorado’s Regulatory Notice system that utilizes electronic mail to notify stakeholders of all proposed regulations before those regulations become final. The Regulatory Notice system earned the Denver Business Journal’s 2003 “Innovative Product/Service Award” for making government more transparent and accountable. Prior to joining Governor Owens’ team, Mayer served as a deputy in Colorado Senator Wayne Allard’s reelection effort in 2002, and ran a widely hailed congressional campaign for a first-time candidate. As a result of his campaign work, the Colorado Statesman selected Mayer for its 2002 “Rising Star Award.” Mayer was a 2007 Lincoln Fellow with The Claremont Institute for the Study of Statesmanship and Political Philosophy and a 2006 American Marshall Memorial Fellow with the German Marshall Fund of the United States. In September 2005, The Ohio State University Alumni Association awarded Mayer the William Thompson Oxley Award for early career achievement. At the age of 29, the Denver Business Journal recognized Mayer as one of Colorado’s young leaders by naming him to its “Forty Under 40” list. In 1997, Mayer was the recipient of the ABA-BNA Excellence in Labor & Employment Law Award and was recognized as a Public Service Fellow. Mayer graduated cum laude from the University of Dayton, with a double major in Philosophy and Psychology and received his law degree from The Ohio State University College of Law where he was the Editor in Chief of the Ohio State Journal on Dispute Resolution. Here were the topics we discussed: what it is like being on the John Stossel show thoughts on the job Governor John Kasich has done thoughts on freedom and competitiveness job creation and entrepreneurship ideas to reduce the size of government and reform right to work debate what are some best practices other states are using what are some benefits Ohio has to offer to bring in new opportunities one of his favorite books by Charles Murray By The People:  Rebuilding Liberty Without Permission Matt wants to leave behind a legacy of:  a principled life; determination; hard work; and belief that he is making a difference I am inspired by the action Matt has taken to make a positive difference in Ohio. The audience can connect with Matt in the following ways: Opportunity Ohio website Twitter Facebook email at contact@opportunityohio.org

For Episodes 36 & 37 of the Outstanding Ohioans show, I had the pleasure of interviewing Matt Mayer, President of Opportunity Ohio.  Opportunity Ohio (O2) is dedicated to enhancing prosperity for Ohioans through educating policymakers and citizens. We pay particular attention to the impact of state and local government decisions and how they foster or hinder job creation and economic growth. Our strategic aim is to provide our leaders with sound policies for a better tomorrow. To listen to the show, click on one of the following: Itunes Stitcher Like Outstanding Ohioans on Facebook Matt A. Mayer serves as President of Opportunity Ohio. Previously, Mayer wrote and spoke on national security and federalism issues as a Visiting Fellow with The Heritage Foundation. His Heritage federalism work earned the runner-up prize in the 2012 Better Government Competition. Mayer has been a national policy leader for more than a decade. Mayer is the author of three books.  Mayer’s first book, Homeland Security and Federalism: Protecting America from Outside the Beltway (with Foreward by the Honorable Edwin Meese III), argued for reversing the nationalization of homeland security by returning power to states and localities. His second book, Taxpayers Don’t Stand a Chance: Why Battleground Ohio Loses No Matter Who Wins (And What To Do About It), exposes systemic problems that have made Ohio fall from a national leader to a laggard. His third book, The Founding Debate: Where Should the Power Over Our Lives Reside?, highlights to top five arguments from the Federalist and Anti-Federalist, as well as excerpts from ten key Supreme Court cases, to help readers decide where they think the power should be. Prior to his public policy work, Mayer was a senior official at the U.S. Department of Homeland Security under the leadership of Secretaries Tom Ridge and Michael Chertoff where he provided DHS leaders with policy and operational advice as the Counselor to the Deputy Secretary and where he headed the $3.5 billion terrorism preparedness office charged with developing initiatives to transform America to meet the demands of a post-9/11 environment. Mayer came to DHS from Colorado where he served Governor Bill Owens as the Deputy Director for the Department of Regulatory Agencies. Mayer co-developed Colorado’s Regulatory Notice system that utilizes electronic mail to notify stakeholders of all proposed regulations before those regulations become final. The Regulatory Notice system earned the Denver Business Journal’s 2003 “Innovative Product/Service Award” for making government more transparent and accountable. Prior to joining Governor Owens’ team, Mayer served as a deputy in Colorado Senator Wayne Allard’s reelection effort in 2002, and ran a widely hailed congressional campaign for a first-time candidate. As a result of his campaign work, the Colorado Statesman selected Mayer for its 2002 “Rising Star Award.” Mayer was a 2007 Lincoln Fellow with The Claremont Institute for the Study of Statesmanship and Political Philosophy and a 2006 American Marshall Memorial Fellow with the German Marshall Fund of the United States. In September 2005, The Ohio State University Alumni Association awarded Mayer the William Thompson Oxley Award for early career achievement. At the age of 29, the Denver Business Journal recognized Mayer as one of Colorado’s young leaders by naming him to its “Forty Under 40” list. In 1997, Mayer was the recipient of the ABA-BNA Excellence in Labor & Employment Law Award and was recognized as a Public Service Fellow. Mayer graduated cum laude from the University of Dayton, with a double major in Philosophy and Psychology and received his law degree from The Ohio State University College of Law where he was the Editor in Chief of the Ohio State Journal on Dispute Resolution. Here were the topics we discussed: what it is like being on the John Stossel show thoughts on the job Governor John Kasich has done thoughts on freedom and competitiveness job creation and entrepreneurship ideas to reduce the size of government and reform right to work debate what are some best practices other states are using what are some benefits Ohio has to offer to bring in new opportunities one of his favorite books by Charles Murray By The People:  Rebuilding Liberty Without Permission Matt wants to leave behind a legacy of:  a principled life; determination; hard work; and belief that he is making a difference I am inspired by the action Matt has taken to make a positive difference in Ohio. The audience can connect with Matt in the following ways: Opportunity Ohio website Twitter Facebook email at contact@opportunityohio.org