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Tune In to FINRA's Upcoming Webinar

March 27, 2024
Volume 13




disciplinary actions

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.


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:

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Regulatory Contacts
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