On january 9, 2024, finra published its 2024 annual regulatory oversight report (the report), formerly. Firms must then submit an initial list of rsl designations to finra by october 15, 2024, followed by quarterly updates.
Brokers who left the industry would have more time to complete ce requirements under finra’s maintaining qualifications program, or mqp. Guidance and resources related to regulation.
Below Are The Regulatory Filing Submission Deadlines Occurring From April.
Resources mentioned in this episode:
Firms Must Then Submit An Initial List Of Rsl Designations To Finra By October 15, 2024, Followed By Quarterly Updates.
Financial firms must meet various regulatory filings requirements throughout the year.
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The Report Highlights Specific Areas Of Focus For Finra In 2023, Including Sales Practice Risks, Operational Risks, Market Integrity Risks, Financial Risks, And.
Guidance and resources related to regulation.
The Report Addresses 26 Regulatory Topics Organized Into Six Sections:
Finra reminds firms of their obligation to file the appropriate focus reports, short interest reports, annual audits and customer complaints by their due.