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Register Today for the Next Small Firm Conference Call

April 12, 2023
Volume 15



disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • SEC Requests for Comment


Education and Compliance Programs


Register today for the next Small Firm Conference Call on Monday, April 24, at 4:30 p.m. ET. FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by Member Supervision’s Vice President Andrew McElduff and Vice President Nicole McCafferty and Vice President & Associate General Counsel Jim Wrona to discuss Regulation Best Interest. Registration is open to all member firms.


The newly added Rule 4111 Compliance Tool Report of Interim Calculations is now available via the tool. Visit FINRA’s Compliance Tools page for more information about the Rule 4111 Compliance Tool, including access instructions.

FINRA published a cybersecurity alert warning firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain names “” or “”. The domains of “” and “” are not connected to FINRA, and firms should delete all emails originating from these domains. Member firms should be aware that they may receive similar phishing emails from other domain names in addition to those identified in this alert.


 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.

 Upcoming Deadlines and Effective Dates

SEC Requests for Comment
On March 24, 2023, the SEC issued an order instituting proceedings to determine whether to approve or disapprove FINRA’s proposed rule change to add IntelligentCross ATS as a new entrant to the Alternative Display Facility. Comments are due April 20, 2023. Any rebuttals to comments filed with the SEC are due May 4, 2023. See the SEC Notice of Order.

The SEC requests comment on FINRA’s proposal to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction and the classification of a location that supervises activities at non-branch locations with the existing residential exclusions set forth in the branch office definition to treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location, subject to safeguards and limitations. Comments are due April 27, 2023. See the Federal Register notice.


 Education and Compliance Programs

Firm compliance personnel who are new to registration and licensing—or would like to become more familiar with navigating related systems—are invited to join FINRA virtually for an upcoming Registration Systems Foundation training. These training sessions run noon to 5 p.m. ET on two consecutive days. See the Virtual Training Schedule & How to Register page for more information.

FINRA's Annual Conference is less than two months away. Attend our premier event to connect and network with industry peers, engage in informal conversations with FINRA senior leaders and exchange diverse perspectives on the timeliest compliance and regulatory topics. View the agenda.

Week I of the 2023 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program is sold out. 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 for Week II on November 12 – 17.

Register for all of FINRA’s upcoming events:

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Regulatory Contacts
FINRA By-Laws require member firms to maintain an Internet email account on behalf of their executive representatives. This facilitates firm notification of important publications and information added to the FINRA website.

Firms wishing to change the name or email address of their executive representative or designated assistant should do so through the FINRA Contact System (FCS). See for further information. Requests from executive representatives to be removed from this email notification list cannot be honored.

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