Guidance
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Disciplinary Actions
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Education and Compliance Programs
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During its December 6 and 7 meeting, the FINRA Board of Governors approved two rulemaking items, approved FINRA’s 2024 budget, appointed new members to the SFAC and NAC, and previewed the 2024 FINRA Annual Regulatory Oversight Report, scheduled to publish in January.
| | Guidance FINRA’s Cyber and Analytics Unit (CAU) would like to remind member firms to prepare for cyber threats and attacks that may occur around the holidays. Member firms and their vendors should consider reviewing and validating their Written Supervisory Procedures (WSPs), continuing to educate their employees with respect to cybersecurity and effective practices, and testing incident response plans (IRPs) to prepare for, prevent, or recover from an incident.
FINRA’s CAU is also highlighting a recent Okta data breach that impacts Okta customer support system users. Firms should determine whether they or their vendors utilize Okta and evaluate their exposure.
On December 8, 2023, the SEC staff issued additional FAQs related to Form CRS. Visit the SEC website for details.
| | 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 December 2023 Monthly Disciplinary Actions.
| | Education and Compliance Programs Register for all of FINRA’s upcoming events: - FINRA Institute at Georgetown Certified Regulatory and Compliance Professional® Program | Washington DC
- 2024 Cybersecurity Conference | Feb. 6 | New York, NY | Hybrid Event
- 2024 Annual Conference | May 14-16 | Washington, DC | Hybrid Event
- Save the Date: 2024 Advertising Regulation Conference | Sept 26-27 | Washington, DC | Hybrid Event
- 2024 Small Firm Conference | October 9-10 | Chicago, IL | Hybrid Event
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