FINRA's New Machine-Readable Rulebook Initiative

February 8, 2023
Volume 6


Guidance
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.
	Guidance 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 Register for all of FINRA’s upcoming events: Senior Investor Protection Conference \| March 27, 2023 \| Washington, DC 2023 Annual Conference \| May 16 – 18, 2023 \| Washington, DC FINRA Institute at Georgetown Certified Regulatory and Compliance Professional^® Program \| Washington, DC Week I \| July 16 – 21, 2023 Week II \| November 12 – 17, 2023

Regulatory Contacts
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