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Learn More About the Creation of the Crypto Hub

August 9, 2023
Volume 32




Upcoming Deadlines and Effective Dates

 • SEC Requests for Comment


Education and Compliance Programs


Tune in to the latest episode of the FINRA Unscripted podcast. In this episode, we learn more about the creation of the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. Listen to the podcast.


Meet FINRA staff and attend panels tailored to your firm’s business model at 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. View the agenda for more information.



FINRA posted Election Notice 08/07/2023 announcing the 2023 Annual Meeting of FINRA members to elect one small firm member and one large firm member to the FINRA Board of Governors. Firms eligible to vote should watch for emails from FINRA’s Election Agent with specific voting instructions, including how to vote online. Quorum requirements must be met to validate the election results and firms may receive calls from a proxy solicitor. If you need assistance, contact FINRA’s Office of the Corporate Secretary via email or call (202) 728‑8949.

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.

 Upcoming Deadlines and Effective Dates

SEC Requests for Comment
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.

On August 2, 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 Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision). Comments are due August 29, 2023. Any rebuttals to comments filed with the SEC are due September 12, 2023. See the SEC Notice of Order.


 Education and Compliance Programs

FINRA is offering five scholarships to industry professionals from small firms to attend the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program. The scholarship covers full tuition for the entire CRCP program, including room and board. The Small Firm Scholarship application period is now open through September 15, 2023. For more information, including eligibility requirements, the selection process and our online application, please visit our Small Firm Scholarship web page.

On August 15, join FINRA staff for a 30-minute webinar about the new Fast Account Switching capability, which allows FINRA system users with multiple firm accounts to quickly switch between them without re-entering a password. During the webinar, FINRA will discuss the new functionality, demonstrate how it works in the live system, and answer questions submitted by attendees before and during the event. Space is limited; please register early.

Compliance professionals at member firms are invited to join FINRA staff August 17 for the next installment in the Disclosure Reporting Webinar Series. During this webinar, FINRA will provide guidance on completing Form U5 and reporting Internal Review and Termination events. Register to attend and watch previously-recorded webinars on the Disclosure Reporting Webinar Series page.

Grab your seat! In-person registration and disclosure trainings return with back-to-back sessions this fall.
Additional sessions have been scheduled for the ever-popular Registration Systems Foundation In-Person Training and Disclosure Reporting In-Person Boot Camp, both of which have back-to-back sessions scheduled this fall in New York, NY and Columbus, OH.

  • Registration Systems Foundation Training is a one-day training for firm compliance personnel who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms.
  • The Disclosure Reporting Boot Camp includes two days of comprehensive training on disclosure reporting topics, including determining reportability and responding to FINRA disclosure letters.

Space is limited, so register early.

Registration is now open for the final 2023 session of the Virtual Registration Systems Foundation Training. 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 Oct. 4 – 5. 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.

Week II of the 2023 FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® Program has sold out! Register now to join the waitlist. This weeklong course, held November 12-17, 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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