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New Senior Investor Protection Rules Podcast

June 28, 2023
Volume 26



disciplinary actions

Disciplinary Actions


Education and Compliance Programs


Tune in to the latest episode of the FINRA Unscripted podcast. In this episode, we hear an update on where senior investor protection rules stand today, explore real-world scenarios in their application and provide tips for some of the tricky conversations that financial professionals might face. Listen to the podcast.


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

Alerts about cybersecurity, fraud and other concerning trends are available on FINRA’s Industry Risks and Threats – Resources for Member Firms page.

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.

 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.

 Education and Compliance Programs

On Thursday, December 7, 2023, the Municipal Securities Rulemaking Board (MSRB), the U.S. Securities and Exchange Commission (SEC), and FINRA will host a virtual joint Compliance Outreach Program for Municipal Advisors, Dealers and Other Market Professionals.

This free webcast will provide market professionals an opportunity to hear from SEC, MSRB and FINRA staff on regulatory and compliance matters.

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.

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 for all of FINRA’s upcoming events:

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Regulatory Contacts
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