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Guidance
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Disciplinary Actions
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Upcoming Deadlines and Effective Dates
• FINRA Request for Comment
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Education and Compliance Programs
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Registration is open 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, open-to-the-public 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.
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FINRA published the Report on Use of 2022 Fine Monies, which describes the capital initiatives, strategic expenditures and other activities funded by fine monies.
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Guidance
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE, as described in Regulatory Notice 22-28.
FINRA's Member Firm Hub is a new section of finra.org that consolidates the latest Notices and other guidance, links to essential resources, information about upcoming events and more in a single place for firms. Find it under "For Firms" at the top of the FINRA homepage.
FINRA will retire “Filing Analysis” in eFOCUS effective June 30, 2023, and will integrate a new, enhanced version of “Compare Filing”. This improvement will allow the user to generate and export an excel filing utilizing a three-, six-, nine- and 12-month lookback option. For additional information, please see the Compare Filings Functionality User Guide on FINRA’s eFOCUS page under User Support.
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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.
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Upcoming Deadlines and Effective Dates
FINRA is requesting comment on recently published Regulatory Notice 23-10, 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. Comment Period Expires: July 31, 2023
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.
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Education and Compliance Programs
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.
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 from 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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