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2024 FINRA Annual Regulatory Oversight Report

January 17, 2024
Volume 3




disciplinary actions

Disciplinary Actions


Education and Compliance Programs



As a reminder, the 2024 FINRA Annual Regulatory Oversight Report was published to and delivered to member firms via email on Jan. 9. Listen to the latest episode of FINRA Unscripted for a discussion of the report, including highlights.


The latest episode of the FINRA 101 video series helps you answer the common customer question: “What is FINRA?” Find this episode or any of the others on YouTube at the following links and embed them on your website or share them via social media.


Disciplinary Actions

FINRA publishes disciplinary actions to remind registered representatives and firms of specific conduct that violates FINRA rules and may result in disciplinary action. FINRA recently published the January 2024 Disciplinary Actions.

Education and Compliance Programs

Registration is now open for the Cybersecurity Tabletop Exercise. This workshop will provide an overview of effective practices, a deep dive on cyber tabletop exercises, and an opportunity to conduct a tabletop exercise with FINRA staff and industry peers. This event will take place on Feb. 5 from 2 p.m. – 4 p.m. ET at FINRA’s Brookfield Place Office located at 200 Liberty Street, 12th Floor Training Room, New York, NY 10281. See the Compliance Workshops page to find more information, and how to register.

Registration is now open for the first 2024 sessions of the Virtual Registration Systems Foundation Training. Firm compliance personnel who are new to registration and licensing—or would like to become more familiar with navigating related systems—are invited to join FINRA virtually March 6-7 or May 1-2. See the Virtual Training Schedule & How to Register page for more information. .

Register for all of FINRA’s upcoming events:

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Regulatory Contacts
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