Tune In to FINRA's Upcoming Webinar

March 27, 2024
Volume 13

Guidance

Disciplinary Actions

Education and Compliance Programs

	FINRA is hosting a webinar to discuss the operational process of Residential Supervisory Location (RSL) designations on Thursday, April 4, 4-5 p.m. ET. Register to hear FINRA senior staff review frequently asked questions, including differences between RSLs and other non-branch locations, scenarios regarding when to engage MAP due to the increase in locations, and additional information regarding implementation of the rule.
	Guidance Newly Published Trade Reporting Notice 3/22/24 to provide advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. 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.
	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 FINRA’s Annual Conference is fast approaching. From May 14-16, don’t miss the opportunity to exchange ideas, effective practices, and guidance on the most-timely compliance and regulatory topics and navigate changes in the evolving regulatory landscape—plus, build connections with FINRA staff and industry peers at our largest event. Register for FINRA’s upcoming events: Webinar: Operationalizing Residential Supervisory Location Designations \| April 4 \| 4-5 p.m. ET \| Virtual Event Registration Systems Foundation In-Person Training \| April 16 \| Dallas Registration Systems Foundation Virtual Training \| May 1-2 \| Virtual Event \| Waitlist Available 2024 Annual Conference \| May 14-16 \| Washington, DC \| Hybrid Event FINRA Institute at Georgetown Certified Regulatory and Compliance Professional^® Program \| Washington, DC Week I \| July 14-19 \| Sold Out Week II \| Nov. 17-22 2024 Advertising Regulation Conference \| Sept. 26-27 \| Washington, DC \| Hybrid Event 2024 Small Firm Conference \| Oct. 9-10 \| Chicago \| Hybrid Event Joint Outreach Program \| Nov. 20-21 \| Denver \| Hybrid Event \| Mark Your Calendar—Registration Available Soon

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