Using FINRA Technology to Support Compliance August 7, 2012

2:00-3:30 Eastern Time (ET)

2 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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) 858-4119.

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.

3 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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

Firm Gateway

5 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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

https://firms.finra.org/

Firm Gateway Login

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Firm Gateway: Main Page

7

Firm Gateway: Customizing

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Firm Gateway: Useful Resources

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Firm Gateway: CRD Queues

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Firm Gateway: Alerts & Reminders

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Firm Gateway: Forms & Filings Catalog

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Firm Gateway: Forms & Filings Catalog

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Web CRD Reports and Notifications

15 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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:

https://firms.finra.org/webcrd

Resources:

http://www.finra.org/crd/resources

Web CRD - CRD Reports

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Web CRD - Reports

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*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

18 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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

Email Ad Hoc report requests to crdreports@finra.org.

Describe the information wanted as well as the format (e.g., email or CD)

Web CRD - Notifications

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Report Center

21 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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:

https://firms.finra.org/reportcenter

Resources:

www.finra.org/reportcenter

22 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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

Report Center: Main Page

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Report Center: 4530 Disclosure Timeliness Report

Card

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Report Center: CRD Late Filing Fee Report

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Report Center: Municipal Cont. Disclosure Report

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Report Center: Registered Rep Composition Report

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28 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

Report Center: Registered Rep Composition Report

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Report Center: Customer Debits Report

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Report Center: Customer Complaint Report

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Report Center: Risk Monitoring Reports

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Report Center: Usage Log

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Firm Profile

34 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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:

https://firms.finra.org/firmprofile

Firm Profile: Main Page

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Firm Profile: Contacts

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Firm Profile: Contact Reports

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Firm Profile: Branch Information

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Firm Profile: Registered Reps

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Interactive Tools

41 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

Interactive Tools

Disciplinary Actions Online

Searchable access to disciplinary actions since 2005

http://disciplinaryactions.finra.org/

OFAC Search Tool Easily searchable version of U.S. Treasury's Office of Foreign Asset

Control’s "Specially Designated Nationals and Blocked Persons" (SDN)

www.finra.org/ofac

FINRA Online Manual

All of FINRA Manual, up to date and with advanced searching

www.finra.org/onlinemanual

Disciplinary Actions Online

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OFAC Search Tool

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FINRA Manual

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Website Resources

46 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

FINRA Website Resources

Tools

Checklists and Templates to tailor to firm’s compliance needs, such as

Written Supervisory Procedures Checklist, Business Continuity Planning

Template

www.finra.org/compliancetools

Issue Center Collected FINRA resources for specified major compliance issues

http://www.finra.org/Industry/Issues

Rule Filing Status Report

Office of General Counsel’s table of FINRA filings with SEC

www.finra.org/rulefilingstatus

Tools

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Industry Issues

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Rule Filing Status Report

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Keeping Current

51 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

Keeping Current

Subscriptions

Emails (including Weekly Email), Podcasts, RSS Feeds, Twitter

automatically sent to subscriber

Sign up at www.finra.org/subscriptions

What’s New List of Recent Announcements for Industry Professionals

– Includes emails to firms, news releases, Regulator and Election Notices,

podcasts, rulemaking items, disciplinary actions, annual reports,

webinars, speeches, testimony

http://www.finra.org/announcements/industry

Subscriptions

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What’s New

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Compliance Resource Provider Program

55 Using FINRA Technology to Support Compliance Webinar Copyright 2012 FINRA

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)

www.finra.org/complianceresourceproviders

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.

Thank you Send feedback to: memberrelations@finra.org