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Register for the Next Small Firm Conference Call

July 26, 2023
Volume 30



disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • FINRA Request for Comment
 • SEC Request for Comment


Education and Compliance Programs


Tune in to the latest episode of the FINRA Unscripted podcast. In this episode, we dig into the capital raising process and FINRA’s recent Request for Comment, as it looks for ways to increase efficiency and reduce unnecessary burdens. Listen to the podcast.


Register for the next Small Firm Conference Call on Thursday, July 27, at 4:30 p.m. ET. FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski will be joined by senior staff from the Office of Credentialing, Registration, Education and Disclosure to discuss updates with registration, testing and continuing education (CE). Topics include CE transformation, Maintaining Qualifications Program (MQP), FINRA Support Center and in-person testing. Registration is open to all member firms.



FINRA’s latest Information Notice provides information to remind registered persons and firms of the new requirements regarding the Continuing Education (CE) Regulatory Element, including: this year’s training assignments and completion deadline of December 31, 2023; the consequences of not completing required annual training and CE inactive status; and resources available to firms for facilitating compliance with the new annual Regulatory Element requirements.

On July 31, FINRA is launching a new fast account switching capability in FINRA Gateway to allow users who support multiple broker-dealer and investment advisor accounts to quickly switch between accounts without re-entering their password. Visit FINRA’s fast accounting switching page for details on this capability.

 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 July 2023 Monthly Disciplinary Actions.

 Upcoming Deadlines and Effective Dates

FINRA Request for Comment
FINRA is requesting comment on recently published Regulatory Notice 23-10, a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Comment Period Expires: July 31, 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.

The SEC requests comment on FINRA’s proposal to amend FINRA Rule 4210 (Margin Requirements) to provide margin relief for specified index option transactions, known as “protected options,” and to make other minor conforming revisions with regard to the margin relief. Comments are due August 9, 2023. See the Federal Register notice.


 Education and Compliance Programs

Register now for FINRA’s Firm Grouping Conference on October 9-10, in Kissimmee, FL. This in-person event designed to provide FINRA member firms the opportunity to engage in conversations and discuss risk and compliance on key topics tailored to each firm grouping (Retail, Capital Markets & Investment Banking, Clearing & Carrying, Diversified and Trading & Execution). 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.

Week II of the 2023 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program is almost sold out! 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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Regulatory Contacts
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