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Registration is Open for the FINRA Diversity Leadership Summit

August 16, 2023
Volume 33



disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates

 • SEC Request for Comment


Education and Compliance Programs


Registration is Open for the FINRA Diversity Leadership Summit
The FINRA Diversity Leadership Summit is back on October 31 – November 2 in a virtual format—with sessions on the intersection of DEI and artificial intelligence; the latest research about investors from a range of backgrounds; insights from DEI practitioners and thought leaders, as well as heads of regulatory organizations; and more. Attendance is free, but pre-registration is required. Register today.



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.


FINRA CAT, LLC recently published a roadmap to assist small firms with meeting their Customer and Account Information System (CAIS) reporting obligations by the compliance date of May 31, 2024. The roadmap lays out the steps necessary to prepare to submit full customer and account information to the CAT CAIS.

FINRA published Regulatory Notice 23-12, adopting amendments to its Codes of Arbitration Procedure to modify the process relating to requests to expunge customer dispute information in the FINRA Dispute Resolution Services (DRS) arbitration forum.

FINRA published Regulatory Notice 23-13 to adopt changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.

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)


 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 August 2023 Monthly Disciplinary Actions.

 Upcoming Deadlines and Effective Dates

SEC Request for Comment
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

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.

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 October
 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.

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.

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.

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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Regulatory Contacts
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