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May 17, 2023
Volume 20



 • FINRA Request for Comment
disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • SEC Requests for Comment


Education and Compliance Programs


Tune in to the latest episode of the FINRA Unscripted podcast. In this episode, we hear how FINRA's Enforcement team has been partnering up with the Office of Regulatory Economics and Market Analysis to ensure better case outcomes. Listen to the podcast.

Visit FINRA's new Member Firm Hub for an up-to-date, streamlined view of the latest Notices and other guidance, links to essential resources, information about upcoming events and more.



FINRA published Regulatory Notice 23-08 to remind members of their obligations in private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act).

FINRA is requesting comment on whether additional changes to FINRA rules, operations or administrative processes would further enhance the capital-raising process without compromising protections for investors and issuers in Regulatory Notice 23-09.


 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 May 2023 Monthly Disciplinary Actions.

 Upcoming Deadlines and Effective Dates

SEC Requests for Comment

The SEC requests comment on FINRA’s proposal to amend FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year remote inspections pilot program to allow member firms to elect to fulfill their obligation under paragraph (1) to Rule 3110(c) (Internal Inspections) by conducting inspections of some or all branch offices and locations remotely without an on-site visit to such office or location, subject to specified terms. Comments are due May 25, 2023. See the Federal Register notice.

The SEC requests comment on FINRA’s proposal to amend FINRA Rules 1015, 9261, 9341, 9524 and 9830 and Funding Portal Rule 900 to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. Comments are due May
 25, 2023. See the Federal Register notice.


 Education and Compliance Programs

Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.

Learn more in the How to Schedule an Appointment to Take Exams Online (Remotely) section of the Schedule an Exam page.

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. Looking ahead? Registration is open for Week I in 2024.

Register for all of FINRA’s upcoming events:

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Regulatory Contacts
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