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Listen to the New FINRA Unscripted Podcast

May 31, 2023
Volume 22



disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • FINRA Request for Comment


Education and Compliance Programs


Tune in to the latest episode of the FINRA Unscripted podcast. In this episode, we are revisiting a fireside chat from this year's Annual Conference between FINRA President and CEO Robert Cook and the Chair of the FINRA Board of Governors, Eric Noll. Listen to the podcast.

FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.



Training, Guidance for Treasury Large Position Reporting

In its May 3, 2023, Quarterly Refunding Statement, Treasury announced that it plans to conduct a call for large position reports sometime over the next three months. The Statement also noted that Treasury is offering a free virtual workshop on June 9, 2023, 1 p.m. - 2 p.m. ET regarding its Large Position Reporting rules, which apply to all U.S. and foreign entities that may control a large position in a specified Treasury security. The workshop is closed to the press. To register for the workshop, complete the online registration form.

Treasury also posted updated Supplementary Formula Guidance for preparing and submitting a report in accordance with the Large Position Reporting rules. The guidance, which was developed in response to questions and feedback from reporting entities, is structured in a Q&A format and provides detailed examples of how to report specific transactions in the LPR formula.


 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

FINRA’s latest Election Notice announces the FINRA Nominating & Governance Committee (Nominating Committee) nominee and informs other individuals of the procedures for being included as a petition candidate on the ballot for this election. The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 7, 2023.

FINRA has published Regulatory Notice 23-10 to request comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS.


 Education and Compliance Programs

Register now for the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation on Thursday, June 15, 4 – 5 p.m. ET. NASAA, SEC and FINRA are co-hosting this free webinar on identifying and reporting the financial exploitation of senior investors. Firms can use this webinar to help train associated persons about how to identify and report financial exploitation of senior and vulnerable adult investors. This event is open to the public.

Registration is now open for our Fall Conference Line-Up.

FINRA’s Firm Grouping Conference is an in-person event designed to provide FINRA member firms the opportunity to engage in conversations on key topics tailored to each firm grouping. This conference also offers networking opportunities to meet with other professionals across firm segments and FINRA senior leadership including a significant presence of Member Supervision officers and senior directors.

FINRA's Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

The 2023 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® 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.

Don’t miss out! Registration Systems Foundation In-Person Training returns June 8 in St. Petersburg, FL. This one-day training is designed for firm compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and submitting Uniform Forms. Space is limited, so register early.

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 August 2 – 3 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.

Register for all of FINRA’s upcoming events:

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