Skip to main content

Tune In to the Latest Episode of FINRA Unscripted

June 14, 2023
Volume 24




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 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.



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:

FINRA logo

 facebook   twitter   linked in

Regulatory Contacts
FINRA By-Laws require member firms to maintain an Internet email account on behalf of their executive representatives. This facilitates firm notification of important publications and information added to the FINRA website.

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 for further information. Requests from executive representatives to be removed from this email notification list cannot be honored.

You received this message because you are currently subscribed to the email subscription list on the FINRA website. To update, sign up for other email lists or cancel your subscription at any time, use our "update information" or "unsubscribe" forms located at