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Gen Z Investors: FINRA Unscripted's Latest Podcast

July 12, 2023
Volume 28

disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • SEC Request for Comment


Education and Compliance Programs


Tune in to the latest episode of the FINRA Unscripted podcast. In this episode, we take a deep dive into a new study by the FINRA Foundation and the CFA Institute looking at the attitudes and behaviors of Gen Z investors, including the role of crypto as an on-ramp, the use of social media and more. Listen to the podcast.


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, there are two seats on the FINRA Board for election at FINRA’s 2023 annual meeting: one Large Firm Governor and one Small Firm Governor. 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.

SEC Request for Comment
On July 5, 2023, the SEC issued an order instituting proceedings to determine whether to approve or disapprove FINRA’s proposed rule change, as modified by Amendment No. 1, to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision), which would treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location, subject to safeguards and limitations. Comments are due August 1, 2023. Any rebuttals to comments filed with the SEC are due August 15, 2023. See the SEC Notice of Order.

Treasury Issues Call for Large Position Reports
The U.S. Department of the Treasury is calling for Large Position Reports from those entities whose positions in the Treasury Bill of June 8, 2023 equaled or exceeded $10.2 billion as of Friday, April 28, 2023, or Friday, May 5, 2023. This Bill has CUSIP 912796ZP7 and was originally auctioned as a 182-Day (i.e., 26-Week) Bill on December 5, 2022, and issued on December 8, 2022, with a maturity date of June 8, 2023. This Bill was subsequently reopened as a 91-Day (i.e., 13-Week) Bill on March 6, 2023, and issued on March 9, 2023. Reports must be received by Treasury before 12:00 PM on Monday, July 17, 2023. For more information, see the public announcement and the supplementary formula guidance for submitting a report in accordance with Treasury’s large position reporting rules (updated April 2023).


 Education and Compliance Programs

Enhanced Expungement Training
FINRA Dispute Resolution Services (DRS) has released a new enhanced expungement training that provides an overview of recently approved revisions to the Codes of Arbitration Procedure to modify the process relating to the expungement of customer dispute information. The enhanced expungement training is now available for arbitrators on the DRS learning system.

Questions about accessing the training can be directed to the FINRA Support Center at (800) 321-6273.

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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