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Special Notice 4/19/24

April 24, 2024
Volume 17




disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • SEC Order Scheduling Filing of Statements on Review


Education and Compliance Programs


FINRA Board and Committee Elections – FINRA encourages member firm involvement in upcoming elections for the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). An overview of the vacancies for the elected positions and other information can be found in Special Notice – 4/19/24.



Recently Published

  • FINRA Enforcement Chief’s Key Objectives – 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.
  • Reminder on Financial Notification Submission Process – Firms will use an enhanced data entry process to submit certain Financial Notifications to FINRA, effective April 27. Enhancements include consolidating several notification forms, two new forms and a new section in FINRA Gateway through which firms will submit their notifications. 

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 Monthly Disciplinary Actions

 Upcoming Deadlines and Effective Dates

SEC Order Scheduling Filing of Statements on Review – The Securities and Exchange Commission (SEC) approved a rule change in January that would prohibit compensated non-attorney representatives from representing parties in the DRS forum. The SEC subsequently stayed the approval order and is reviewing the delegated action. Per an April SEC Order Scheduling Filing of Statements on Review, any party or other person may file by May 8 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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