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  • From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation

    This panel brings together regulators and FINRA member firms to explore how regulatory tools and firm-level action can work together to protect senior investors. Regulators share what they are seeing including common red flags, examination findings and expectations around documentation, escalation and reporting. FINRA member firms provide real-world success stories demonstrating how the Trusted Contact Person Rule and FINRA Rule 2165 have prevented harms, stopped scams and ultimately strengthened client relationships.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/381116/calendar.ics

    Source: https://www.finra.org/compliance-tools/compliance-calendar

  • FINRA Crypto Applied Learning Program at Georgetown University

    FINRA's Crypto and Blockchain Education Program equips financial professionals with comprehensive, practical knowledge to understand and navigate crypto assets and blockchain technology. The in-person applied learning course, delivered in partnership with Georgetown University's McDonough School of Business, provides an immersive, hands-on experience that transforms foundational learning into actionable knowledge.

    The multiday in-person course combines expert instruction, interactive discussions, case studies, and hands-on scenarios designed to deepen your understanding and increase knowledge retention.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/381121/calendar.ics

    Source: https://www.finra.org/compliance-tools/compliance-calendar

  • SR-FINRA-2025-017

    Rule Filing Status: Approved

    A proposed rule change to amend FINRA Rule 4210 to replace its current day trading margin provisions with modern intraday margin standards. As such, the proposed rule change would eliminate paragraph (f)(8)(B) under Rule 4210 together with associated provisions relating to the day trading margin requirements under paragraphs (b), (f)(10) and (g)(13), would establish new paragraphs (a)(17) through (a)(19), new paragraph (d)(2) and new paragraphs (g)(1)(J) and (g)(1)(K), and would make minor conforming amendments.

    FINRA Category: Rule Filings

    Add to Calendar: https://www.finra.org/calendar/ical/381106/calendar.ics

    Source: https://www.finra.org/compliance-tools/compliance-calendar

  • SLS Filings Due

    FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

    FINRA Category: Regulatory Filings

    Add to Calendar: https://www.finra.org/calendar/ical/375936/calendar.ics

    Source: https://www.finra.org/compliance-tools/compliance-calendar