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Tune in to the Latest Episode of the FINRA Unscripted Podcast

March 20, 2024
Volume 12




disciplinary actions

Disciplinary Actions


Education and Compliance Programs



Tune in to the latest episode of the FINRA Unscripted podcast to hear from three senior leaders about the redesign of the Market Regulation and Transparency Services (MRTS) team. Listen here.

Developments and approvals from the FINRA Board of Governors’ first meeting of the year on March 15 can be found here.


Newly published:

  • Regulatory Notice 24-08 to establish a specified exception under the margin rules with respect to certain short option or warrant positions on indexes that are written against products that track the same underlying index.
  • Regulatory Notice 24-06 to adopt amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and other professionals who choose to subscribe to the new data set.
  • Regulatory Notice 24-07 regarding the quarterly GASB Accounting Support Fee to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB).

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 March 2024 Disciplinary Actions.

Education and Compliance Programs

Featured Event

  • The Joint Compliance Outreach Program is returning to an in-person event. On Nov. 20 and 21 in Denver, the U.S. Securities and Exchange Commission (SEC), FINRA and Municipal Securities Rulemaking Board (MSRB) will host the program for municipal advisors, dealers, and other market professionals. This free program will allow market professionals to engage with and hear directly from SEC, MSRB, and FINRA staff on a number of timely regulatory initiatives and compliance matters. 

    Where: Byron Rogers Federal Building in Denver. A live stream and/or video replay will be available for those who cannot attend in person.

Register for FINRA’s upcoming events:

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Regulatory Contacts
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