Corporate & Financial Weekly Digest, Featuring Articles on the CFTC and NFA Extension of COVID-19 Adjustments

BROKER-DEALER -

Annual Verification in the FINRA Contact System Due January 27 -

The Financial Industry Regulatory Authority (FINRA) requires that each FINRA member complete an annual verification (the Annual Verification) of their contact information within the first 17 business days of each calendar year, which will be January 27 this year. Annual Verification falls under FINRA Rule 4517, which requires FINRA members to update designated contact information promptly upon any material change, verify such information annually and comply promptly with any request for such information via the FINRA Contact System (FCS). Prior to completing the Annual Verification process, FINRA members should review all contacts in the FCS and update as needed. This review should include updating contact details, removing duplicate entries and/or deleting contacts no longer associated to a role in the FCS.

Please see full Newsletter below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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