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FINRA Publishes 2022 Annual Financial Report

July 5, 2023
Volume 27

disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates


Education and Compliance Programs


FINRA published its 2022 Annual Financial Report, which describes how FINRA managed its finances in 2022. Read the report to learn more about the key drivers of FINRA’s 2022 financial performance.

 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.

 Upcoming Deadlines and Effective Dates

As a reminder, the FINRA Nominating & Governance Committee did not nominate a candidate for election in 2023. Instead, any eligible individuals who obtain the requisite number of valid petitions will be certified as candidates and included on the ballot. Petitions for candidacy are due Monday, July 17, 2023.

 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.

Register for all of FINRA’s upcoming events:

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