Guidance
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Disciplinary Actions
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Education and Compliance Programs
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FINRA announced the results of recent elections to fill vacancies on the Small Firm Advisory Committee (SFAC), the Regional Committees and the National Adjudicatory Council (NAC), as well as newly appointed members to the SFAC and NAC.
FINRA has named Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence.
| | Guidance FINRA published Regulatory Notice 23-21 to remind firms of net capital, recordkeeping and financial reporting requirements in connection with revenue recognition practices.
FINRA is sharing Frequently Asked Questions (FAQs) on Regulation Crowdfunding for the guidance of its member firms. For additional information, visit our Funding Portal webpage.
As a reminder, 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.
| | 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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