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Listen to the New Blockchain Lab Podcast Episode

September 20, 2023
Volume 38



disciplinary actions

Disciplinary Actions


Upcoming Deadlines and Effective Dates


Education and Compliance Programs


Tune in to the latest episode of the FINRA Unscripted podcast. On this episode, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives. Listen to the podcast.


Updated Cybersecurity Compliance Tools – FINRA periodically reviews and updates compliance tools and resources and recently updated the Small Firm Cybersecurity Checklist and the Firm Checklist for Compromised Accounts. The changes include adding helpful links and information firms may consider useful in managing their cyber programs. For additional cyber-related information, firms may wish to consult FINRA’s cybersecurity key topic page or if a firm has questions, they should contact their assigned Risk Monitoring Analyst or FINRA’s NCFC’s Cybersecurity Group.


FINRA reminds firms and industry professionals that effective Jan. 1, 2023, FINRA and other self-regulatory organization (SRO) rules require registered persons to complete their continuing education (CE) Regulatory Element annually, by Dec. 31, for each registration that they hold.

Registered persons who fail to complete their 2023 Regulatory Element within the prescribed annual deadline of Dec. 31, 2023, will be automatically designated as CE inactive by FINRA on Jan. 1, 2024. An individual designated CE inactive is prohibited from performing, or receiving compensation for, any activities requiring registration while they remain in a CE inactive status. Firm CE contacts can get information on the Annual Regulatory Element obligations and statuses of registered persons within their firms by logging into FINRA Gateway, clicking on the Reports tab, and selecting one of the available Annual CE templates. Notifications on CE status and deadlines can be sent to firm members from within FINRA Gateway as well. Visit FINRA’s Securities Industry CE Transformation resource page for more information about the CE rule changes.


 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 September 2023 Monthly Disciplinary Actions.

 Upcoming Deadlines and Effective Dates

FINRA Elections
FINRA is holding several elections to fill seats on the Small Firm Advisory Committee (SFAC) and Regional Committees.

  • Two seats on the SFAC representing the Midwest and South regions are up for election. Individuals interested in becoming candidates for this election must submit a candidate profile form to FINRA’s Corporate Secretary by October 11, 2023.
  • Election Notice 09/11/23 describes the nomination and election process to fill vacancies on FINRA’s Regional Committees. Regional Committees for the South and West regions each have six full-term vacancies, and the Midwest, North and New York regions each have four full-term vacancies to fill. Eligible candidates will be included on the appropriate ballot if they submit a candidate profile form to FINRA’s Corporate Secretary by October 11, 2023.

 Education and Compliance Programs

On September 28, 2023 at 10:00 a.m. Eastern Time, FINRA CAT, LLC will host a CAT Billing Industry Webinar. The CAT Billing Webinar will be limited to the operational implementation of the CAT Reporter billing process. Please contact the FINRA CAT Helpdesk at [email protected] or (888) 696-3348 with any questions or concerns related to this email.

A few seats are still available for the last registration and disclosure trainings of the year. Both in-person and virtual options are available. These trainings are designed for compliance personnel at member firms who want to become more familiar with navigating FINRA Gateway and submitting Uniform Forms.

Virtual Registration Systems Foundation Training

  • Oct. 4-5 | Two half-days (noon – 5 p.m. ET) | Virtual

In-Person Registration Systems Foundation Training

  • Oct. 17 | 8 a.m. – 5 p.m. ET | Columbus, OH

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 is 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.

View the agenda for the 2023 Small Firm Conference. Join us in Santa Monica, CA, or participate virtually on October 25-26, for the opportunity to discuss small firm topics, share insights and effective practices, and hear detailed exchanges on industry and regulatory updates.

Additional speakers were recently announced for the October 31 – November 2 virtual FINRA Diversity Leadership Summit. Register today to hear from:

  • Prof. Loretta Ross – Associate Professor, Smith College (Keynote Speaker);
  • Hon. Sharon Bowen – Chair of the NYSE, Director of Intercontinental Exchange;
  • Robert Cook – President and CEO, FINRA;
  • Christian Baldia, Adjunct Associate Instructor, Columbia University School of Professional Studies, and more.

Visit the conference website for more information and to register.

Register for all of FINRA’s upcoming events:

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Regulatory Contacts
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