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FINRA's New Machine-Readable Rulebook Initiative

February 8, 2023
Volume 6


disciplinary actions

Disciplinary Actions


Education and Compliance Programs

Tune into the latest episode of the FINRA Unscripted podcast. On this episode, we cover what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer. Listen to the podcast.



The SEC’s Office of Investor Education and Advocacy, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are updating this Investor Alert to warn investors of potential risks associated with self-directed Individual Retirement Accounts (self-directed IRAs).

The Securities and Exchange Commission’s Division of Examinations recently announced its 2023 examination priorities. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. The published priorities are not exhaustive of the focus areas of the Division in its examinations, risk alerts, and outreach.


 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.


 Education and Compliance Programs

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