Tune In to the Latest Episode of FINRA Unscripted

June 14, 2023
Volume 24


Guidance
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, three leaders from FINRA's exam program join us for a deep dive into how the program works and what firms can expect during routine firm exams. Listen to the podcast.
	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 and visit often for the most up-to-date information.
	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 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.
	Upcoming Deadlines and Effective Dates Per Regulatory Notice 23-11, FINRA is requesting comment on a concept proposal to establish liquidity risk management requirements. The concept proposal describes a potential rule intended to ensure that members have sufficient liquid assets to meet their funding needs in both normal and stressed conditions. The comments period is open through August 11, 2023.
	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. Register for all of FINRA’s upcoming events: Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation \| June 15 \| 4 p.m. – 5 p.m. ET Firm Grouping Conference \| October 9 – 10, 2023 \| Kissimmee, FL \| In-Person Only Small Firm Conference \| October 25 – 26, 2023 \| Santa Monica, CA \| Hybrid Event FINRA Institute at Georgetown Certified Regulatory and Compliance Professional^® Program \| Washington, DC Week I \| July 16 – 21, 2023 \| Sold Out Week II \| November 12 – 17, 2023 Week I \| July 14 – 19, 2024 2024 Annual Conference \| May 14 – 16 \| Washington, DC \| Hybrid Event

Regulatory Contacts
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Firms wishing to change the name or email address of their executive representative or designated assistant should do so through the FINRA Contact System (FCS). See http://www.finra.org/FCS for further information. Requests from executive representatives to be removed from this email notification list cannot be honored.

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