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ARTICLE · 19 JUNE 2017

FINRA Releases Monthly Podcast

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FINRA released a podcast summary of the latest FINRA news, notices and resources from May 2017.

United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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FINRA released a podcast summary of the latest FINRA news, notices and resources from May 2017.

The summary of recent FINRA notices included the following:

  • Regulatory Notice 17-20, which requested comments on FINRA rules concerning the outside activities of employees (comments will be due no later than June 29, 2017);
  • Regulatory Notice 17-19, which detailed amendments that conformed FINRA regulations to the shortened standard settlement cycle (previously, "T+3"; effectively, "T+2" as of September 5, 2017); and
  • notice of the FINRA annual meeting, at which one small-firm governor and one large-firm governor will be elected (on or around August 22, 2017).

Additionally, the comment periods for Regulatory Notices 17-14, 17-15, and 17-16 that relate to capital formation and financing have been extended to July 14, 2017.

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