Registration Open for FINRA's Firm Grouping Conference

June 21, 2023
Volume 25


Guidance
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.
	Guidance 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: A June 7, 2023, Advisory that addresses a vulnerability in the MOVEit web application; and A June 14, 2023, Advisory that addresses the LockBit ransomware variant.
	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: Virtual Registration Systems Foundation Training \| August 9-10, 2023 \| Virtual 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
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 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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