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FINRA Enforcement Chief’s Key Objectives

April 17, 2024
Volume 16




disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • Commission Order Scheduling Filing of Statements on Review


Education and Compliance Programs


FINRA Enforcement Chief’s Key Objectives – In a blog published today, Bill St. Louis, Executive Vice President and Head of FINRA Enforcement, writes about some of the key objectives that drive his team’s crucial work on the front lines of investor protection. Read it here.

Webinar on Remote Inspections Pilot ProgramRegister for the webinar on April 30, 4-5 p.m. ET, to hear FINRA senior staff review frequently asked questions, the open enrollment and opt-out periods, and the data and information requirements for the program.

Podcast on T + 1 – Tune in to the latest episode of the FINRA Unscripted podcast to hear from FINRA experts about what all market participants need to be thinking about and testing ahead of the transition to T+1. Listen here.

FINRA Now on Instagram – Subscribe to FINRA's new Instagram channel to find investor-focused content to share with your customers. Follow us at @_FINRA.


Recently Published

  • Reminder: Effective April 27, firms will use an enhanced data entry process to submit certain Financial Notifications to FINRA. Enhancements include the consolidation of several notification forms, two new forms and a new section in FINRA Gateway through which firms will submit their notifications. Read more.

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 April 2024 Disciplinary Actions.

 Upcoming Deadlines and Effective Dates

Web EFT Retires November 2024

This is a reminder to firms using the legacy Web EFT service that effective Nov. 15, 2024 all associated XML file upload and download functionality will be completely retired. Current Web EFT subscribers wishing to continue making automated data transfers with FINRA must transition to using the new FINRA API platform. Key milestones and frequently asked questions are on the platform’s Web EFT Sunset page.

SEC Order Scheduling Filing of Statements on Review

On Jan. 11, 2024, the Securities and Exchange Commission (SEC) approved a rule change that would prohibit compensated non-attorney representatives from representing parties in the DRS forum. On Jan. 19, 2024, FINRA received notice that, pursuant to Rule 431 of the SEC’s Rules of Practice, 17 CFR 201.431, the SEC will review the delegated action, thereby staying the Approval Order. On April 8, 2024, the SEC published an Order Scheduling Filing of Statements on Review stating that on or before May 8, 2024, any party or other person may file a statement in support of, or in opposition to, the action made pursuant to delegated authority. The Approval Order remains stayed pending further order of the SEC. Please see SR-FINRA-2023-013 for more information.

 Education and Compliance Programs

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