Using FINRA Technology to Support Compliance August 7, :00-3:30 Eastern Time (ET)
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1 Using FINRA Technology to Support Compliance August 7, :00-3:30 Eastern Time (ET)
2 Program Notes Asking questions Click the word balloon icon. It appears above the video screen in the Windows Media console, and in the bottom right of the Silverlight console. PowerPoint or resources Click on the paperclip resource link above the video window. Technical difficulties Call Technical Support at (212) Choose Option 2 for Technical Assistance, then choose 2 for FINRA Webinars. Use of the practices and information from this program does not guarantee compliance with regulatory requirements or create a safe harbor from regulatory responsibilities. Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 2
3 Agenda 1. Firm Gateway 2. Web CRD Reports and Notifications 3. Report Center 4. Firm Profile 5. Interactive Tools 6. FINRA Website Resources 7. Keeping Current 8. Compliance Resource Providers Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 3
4 Firm Gateway
5 Firm Gateway The Firm Gateway provides: A single point of access to firm regulatory compliance applications Access to common tasks, useful resources, important events and upcoming rule changes Tools to simplify compliance tasks and focus user attention on required action Access the Firm Gateway from: FINRA.org home page or Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 5
6 Firm Gateway Login 6
7 Firm Gateway: Main Page 7
8 Firm Gateway: Customizing 8
9 Firm Gateway: Useful Resources 9
10 Firm Gateway: CRD Queues 10
11 Firm Gateway: Alerts & Reminders 11
12 Firm Gateway: Forms & Filings Catalog 12
13 Firm Gateway: Forms & Filings Catalog 13
14 Web CRD Reports and Notifications
15 Web CRD Reports and Notifications Web CRD is used for the licensing of firms, branch offices and individuals Web CRD provides firms registration information on their firm, branch office and representative Queues Reports Firm Notifications Access CRD: Resources: Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 15
16 Web CRD - CRD Reports 16
17 Web CRD - Reports *New* Roster Individual Summary Download Report This report will display summary information for a firm s registered individuals Only one record per person will be included Available late October/early November 17
18 Web CRD - Ad Hoc Reports Ad Hoc Reports can be requested for data elements not included in a standard report or a report not listed on the Request Reports screen The fee for Ad Hoc reports varies with the complexity and time required to create the report Ad Hoc report requests to crdreports@finra.org. Describe the information wanted as well as the format (e.g., or CD) Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 18
19 Web CRD - Notifications 19
20 Report Center
21 Report Center Provides firms with secure access to data and reports to support their compliance, early detection of reporting problems, and areas for improvement Access Report: Resources: Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 21
22 Report Center: Available Report Cards and Reports TRACE Quality of Markets Corporate Agency Securitized Products Municipal G-32 Underwriting Primary Disclosure Continuing Disclosure Online Learning CE Regulatory Element Risk Monitoring Sales Practice Complaint Registered Representative Composition Canceled and As-Of Trades Customer Debits Customer Complaint Disclosure Web CRD Late Filing Fee 4530 Disclosure Timeliness Equity Trade Reporting (executing & reporting) Best Execution NMC Compliance (executing & reporting) OATS Compliance Market Order Timeliness Reg NMS Trade Through NYSE FESC Summary Chart Rule 123 (e) and (f) Quality Performance and Summary Missing Order Detail, Execution Prior to Order, and Execution Exceeds Order Missing or Invalid Account Type Missing or Invalid Order Details Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 22
23 Report Center: Main Page 23
24 Report Center: 4530 Disclosure Timeliness Report Card 24
25 Report Center: CRD Late Filing Fee Report 25
26 Report Center: Municipal Cont. Disclosure Report 26
27 Report Center: Registered Rep Composition Report 27
28 Report Center: Registered Rep Composition Report Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 28
29 Report Center: Customer Debits Report 29
30 Report Center: Customer Complaint Report 30
31 Report Center: Risk Monitoring Reports 31
32 Report Center: Usage Log 32
33 Firm Profile
34 Firm Profile Provides a composite view of information a firm reported through various FINRA systems Viewable by all firm users with an EWS account, but editable only by those authorized Access Firm Profile: Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 34
35 Firm Profile: Main Page 35
36 Firm Profile: Contacts 36
37 Firm Profile: Contact Reports 37
38 Firm Profile: Branch Information 38
39 Firm Profile: Registered Reps 39
40 Interactive Tools
41 Interactive Tools Disciplinary Actions Online Searchable access to disciplinary actions since OFAC Search Tool Easily searchable version of U.S. Treasury's Office of Foreign Asset Control s "Specially Designated Nationals and Blocked Persons" (SDN) FINRA Online Manual All of FINRA Manual, up to date and with advanced searching Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 41
42 Disciplinary Actions Online 42
43 OFAC Search Tool 43
44 FINRA Manual 44
45 Website Resources
46 FINRA Website Resources Tools Checklists and Templates to tailor to firm s compliance needs, such as Written Supervisory Procedures Checklist, Business Continuity Planning Template Issue Center Collected FINRA resources for specified major compliance issues Rule Filing Status Report Office of General Counsel s table of FINRA filings with SEC Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 46
47 Tools 47
48 Industry Issues 48
49 Rule Filing Status Report 49
50 Keeping Current
51 Keeping Current Subscriptions s (including Weekly ), Podcasts, RSS Feeds, Twitter automatically sent to subscriber Sign up at What s New List of Recent Announcements for Industry Professionals Includes s to firms, news releases, Regulator and Election Notices, podcasts, rulemaking items, disciplinary actions, annual reports, webinars, speeches, testimony Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 51
52 Subscriptions 52
53 What s New 53
54 Compliance Resource Provider Program
55 Compliance Resource Provider Program Composed of compliance vendors FINRA reviews and negotiates with to get discounted price or more features for firms. Current vendors: Message Archiving Global Relay Insurance Program Marsh Electronic Fingerprint Submission Business Information Group (BIG) FINRA does not endorse these products and firms are not required to use them. Their use does not ensure compliance with FINRA or other regulations. Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA 55
56 Thank you Send feedback to:
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