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FINRA's Senior Investor Protection Conference

February 15, 2023
Volume 7


disciplinary actions

Disciplinary Actions


Education and Compliance Programs

FINRA’s Senior Investor Protection Conference takes place on March 27, 2023. This event is dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior investors and vulnerable adults. View the agenda here.



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).

Per Information Notice 2/14/23, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $22.90 per million dollars in transactions to a new rate of $8.00 per million dollars in transactions effective February 27, 2023.

Wondering when to contact FINRA’s Ombudsman’s Office?

  • Contact FINRA’s Office of the Ombudsman if you have complaints about FINRA, questions that you don’t believe other FINRA departments can resolve or seek confidentiality or anonymity. In case you were not aware, the Office of the Ombudsman is an independent, neutral, and confidential resource. As a designated neutral, the Office of the Ombudsman does not represent or act as an advocate for any individual or entity, including FINRA. They advocate for fair processes and fair administration of those processes.
  • Note that you should file a Regulatory Tip if you have information about potentially fraudulent, illegal or unethical activity relating to financial services.
  • In addition, the FINRA Support Center can help with inquiries about registration and disclosure requirements, form filings, entitlement to FINRA systems, investor education, qualifications exams, and continuing education programs.

The SEC’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. FINRA recently published the February 2023 Monthly Disciplinary Actions.


 Education and Compliance Programs

Seats are filling up fast for Week I of the 2023 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program! This popular program brings together world-renowned professors, expert faculty and fellow industry participants for two non-consecutive weeklong courses on the foundation, theory and practical application of securities laws and regulation. Reserve your spot now and join us in Washington, DC for Week I held July 16 – 21 and Week II held on November 12 – 17.

Register for all of FINRA’s upcoming events:

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Regulatory Contacts
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