The SEC and FINRA offered attendees at February's CCOutreach BD National Seminar guidance on: (i) regulatory exams, (ii) e-communications, (iii) available compliance tools.  [See our previous post for AML resources.]   For the complete agenda, go to:   [SEC and FINRA Webcasts-CCOutreach, 2/8]     Now that you have resources and tools - run with them.

Examination Priorities and Process

• FINRA Annual Regulatory and Examination Priorities Letter.   www.finra.org/exampriorities
• OCIE Head Outline National Exam Program.   http://www.complinet.com/global/news/news/article.html?ref=139681
• What to Expect Webcast: Preparing for a FINRA Cycle Exam.  www.finra.org/webcasts/whattoexpect/cycleexam

Compliance Tools

• FINRA Compliance Resources.    www.finra.org/compliancetools
• SEC Compliance Resources.    http://www.sec.gov/divisions/marketreg/mrbdealers.shtml
• SEC Charges ML for Misusing Customer Order Info and Charging Undisclosed Trading Fees.   http://www.sec.gov/news/press/2011/2011-22.htm

Other Resources

• FINRA’s Firm Gateway Web Page.  www.finra.org/firmgateway
• FINRA Issue Center.   www.finra.org/Industry/Issues
• FINRA’s Web Information Request (Web IR) Web Page.   www.finra.org/WebIR

Electronic Communications - Guidance

• FINRA RegNote 10-06, Guidance on Blogs and Social Networking Web Sites.   www.finra.org/Industry/Regulation/Notices/2010/P120760
• FINRA RegNote 09-55, FINRA Requests Comments on Proposed New Rules re: Communications with the Public.  www.finra.org/Industry/Regulation/Notices/2009/P120004
• FINRA RegNote 07-59, Supervision of E-Communications; FINRA Provides Guidance Re: the Review and Supervision of Electronic Communications.   www.finra.org/Industry/Regulation/Notices/2007/P037554
• NASD NtM 03-33, IM: Clarification for Members Re: Supervisory Obligations and Recordkeeping Requirements for Instant Messaging.   www.finra.org/Industry/Regulation/Notices/2003/P003248
• NASD NtM 01-23, Suitability Rule and Online Communications.    www.finra.org/Industry/Regulation/Notices/2001/P003886

Electronic Communications - Rules

• NASD Rule 2210. Communications with the Public.  http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=10467&element_id=3617&highlight=2210#r10467
• NASD Rule 2711. Research Analysts and Research Reports.   http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=4352&element_id=3675&highlight=2711%28b%29%283%29%28A%29#r4352
• NYSE Rule 472. Communications with the Public.   http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=6575
• FINRA Rule 2310. Direct Participation Programs.   http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=11706&element_id=8469&highlight=2310#r11706
• NASD Rule 3010. Supervision.  http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=4395&element_id=3717&highlight=3010#r4395
• NASD Rule 3070. Reporting Requirements.   http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=4408&element_id=3730&highlight=3070#r4408
• NYSE Rule 351. Reporting Requirements.   http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=6523
• NASD Rule 3110. Books and Records.   http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3734
• NYSE Rule 410. Records of Order.    http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=6546