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Registration Open for FINRA's Firm Grouping Conference

June 21, 2023
Volume 25



disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • FINRA Request for Comment


Education and Compliance Programs


Registration is open for FINRA’s Firm Grouping Conference held October 9-10, in Kissimmee, FL. This in-person event is 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. Register now.


The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting two Advisories issued by the Cybersecurity & Infrastructure Security Agency (CISA) in response to the increased threat of ransomware potentially impacting FINRA member firms:

 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 June 2023 Monthly Disciplinary Actions.

 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

Week II of the 2023 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program is filling up fast! Reserve your spot now and join us November 12-17. This weeklong course focuses on advanced-level regulatory and compliance topics. 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 9-10 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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