Register Now for FINRA’s Small Firm Conference | FINRA.org

Register Now for FINRA’s Small Firm Conference

September 30, 2026

Features

  • Register Now for FINRA’s Small Firm Conference 
    Our annual Small Firm Conference is scheduled for Oct. 27-28 in Chicago. The conference will focus on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees will have the opportunity to discuss small firm topics with FINRA senior staff. Please visit the conference page on FINRA.org for more information and to register.
     
  • Petition Period for NAC Election Opens Soon 
    Next week, FINRA will announce the start of a 45-day petition period for those interested in becoming candidates to run for one open small firm seat on the National Adjudicatory Council (NAC). The NAC reviews all disciplinary decisions issued by FINRA hearing panels. The elected individual will serve a four-year term beginning in January 2027 and concluding in December 2030. Eligible individuals who submit the required number of valid petitions by Nov. 19 will be included as candidates on the ballot. Details about the petition procedures will be included in a forthcoming election notice.
     
  • FINRA Foundation Announces Military Spouse Fellows 
    The FINRA Foundation and the Association for Financial Counseling and Planning Education® have selected the 2026 cohort of the FINRA Foundation Military Spouse Fellowship. This year, 30 military spouses will take steps toward achieving their Accredited Financial Counselor® (AFC®) designation. They will join the more than 1,835 military spouses given the opportunity to obtain their AFC® certification through the program.
Regulatory Reminders
  • Alternative Investments: FINRA filed a proposed rule change with the SEC to amend Rule 4522 (Periodic Security Counts, Verifications and Comparisons) to simplify position statement and reconciliation requirements for certain alternative investments. Comments are due to the SEC by today, Sept. 30.
     
  • Enhanced Tools to Protect Investors: FINRA filed proposed rule changes with the SEC to empower firms to intervene quickly to address suspected fraud and financial exploitation while maintaining appropriate safeguards and respecting customer autonomy. Comments are due to the SEC by today, Sept. 30.
     
  • TRF Operating Hours: FINRA’s Trade Reporting Facilities (TRFs) will extend their operating hours. Starting Dec. 6, they will operate from 9 p.m. ET on Sundays through 8 p.m. ET on Fridays, with a one-hour technical pause 8-9 p.m. ET, Mondays through Thursdays, excluding holidays.

Disciplinary Actions

  • FINRA has barred Rudy Anguiano of Chino Hills, CA, a former registered representative of LPL Financial LLC, from associating with any FINRA member firm in all capacities for conversion—the intentional and unauthorized taking of another person’s property—of $1,731,000 from two customers’ accounts into an outside business bank account. LPL has since reimbursed both customers in full.
     
  • FINRA publishes disciplinary actions to remind members of specific conduct that violates FINRA rules and may result in disciplinary action. The September 2026 Monthly Disciplinary Actions are available here.
Education and Compliance Programs

Webinar: Customer Information Request | Oct. 13 | Virtual Event

Advertising Regulation Conference | Oct. 15-16 | Hybrid Event | Washington, DC

Report Center Webinar Series: MSRB Report Cards | Oct. 22 | Virtual Event

Small Firm Conference | Oct. 27-28 | In-Person Event | Chicago, IL 

FINRA Virtual Registration Systems Foundation | Nov. 4-5 | Virtual Event

FINRA Certified Regulatory and Compliance Professional (CRCP)® Program Week II | Nov. 15-20 | In-Person Event | Washington, DC

Annual Conference | May 11-13, 2027 | Hybrid Event | Washington, DC

Crypto Applied Learning Program | June 8-10, 2027 | In-Person Event | Washington, DC

Crypto and Blockchain Education Program Foundational E-Learning Courses | Self-Paced

Resources

Member Firm Hub – The latest guidance, resources, educational opportunities and more.

FINRA Forward – An overview of our work in action for becoming more effective and efficient at pursuing our mission is available on FINRA.org. The webpages include information and videos about our efforts to modernize our rules, empower member firm compliance, and combat cyber and fraud threats.

Quarterly Regulatory Policy Agenda – An overview of our current priorities for significant regulatory policy initiatives.

Comment Process – On-demand webinar on how to provide comments on FINRA Forward proposals, as well as the impact of comment letters and how they are used. 

Involvement and Election Process – How to engage with FINRA to help carry out our mission of protecting investors and safeguarding market integrity. Members can contribute their unique perspectives and skillsets with rotating terms on FINRA committees and other opportunities. Submit an indication of interest to be considered to join a FINRA advisory committee or speak at a FINRA event by clicking here.

Membership Application Program (MAP) Tools – Guidance and other resources to help current members prepare for their continuing membership application (CMA) and new applicants prepare for a new member application (NMA).

FINRA Unscripted – A monthly podcast that discusses a range of topics important to the securities industry.

Investor Insights – Feature articles on timely topics for investors, which firms are welcome to share with customers.

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About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry—member brokerage firms doing business with the public in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.
Regulatory Contacts
FINRA By-Laws require member firms to maintain an email account on behalf of their executive representatives, to facilitate firm notification of important information. In light of this, requests from executive representatives to be removed from this email list cannot be honored.
 
Firms wishing to change the name or email address of their executive representative or designated assistant should use the FINRA Contact System: http://www.finra.org/FCS.
 
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