2024 FINRA Annual Regulatory Oversight Report

January 17, 2024
Volume 3

Guidance

Disciplinary Actions

Education and Compliance Programs

	As a reminder, the 2024 FINRA Annual Regulatory Oversight Report was published to FINRA.org and delivered to member firms via email on Jan. 9. Listen to the latest episode of FINRA Unscripted for a discussion of the report, including highlights.
	Guidance The latest episode of the FINRA 101 video series helps you answer the common customer question: “What is FINRA?” Find this episode or any of the others on YouTube at the following links and embed them on your website or share them via social media.
	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 January 2024 Disciplinary Actions.
	Education and Compliance Programs Registration is now open for the Cybersecurity Tabletop Exercise. This workshop will provide an overview of effective practices, a deep dive on cyber tabletop exercises, and an opportunity to conduct a tabletop exercise with FINRA staff and industry peers. This event will take place on Feb. 5 from 2 p.m. – 4 p.m. ET at FINRA’s Brookfield Place Office located at 200 Liberty Street, 12th Floor Training Room, New York, NY 10281. See the Compliance Workshops page to find more information, and how to register. Registration is now open for the first 2024 sessions 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 March 6-7 or May 1-2. See the Virtual Training Schedule & How to Register page for more information. . Register for all of FINRA’s upcoming events: FINRA Institute at Georgetown Certified Regulatory and Compliance Professional^® Program \| Washington DC Week I \| July 14-19 Week II \| Nov. 17-22 Cybersecurity Tabletop Exercise \| Feb. 5 \| New York, NY 2024 Cybersecurity Conference \| Feb. 6 \| New York, NY \| Hybrid Event Virtual Registration Systems Foundation Training March 6-7 \| noon-5 p.m. ET May 1-2 \| noon-5 p.m. ET 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 \| Oct. 9-10 \| Chicago, IL \| Hybrid Event

Regulatory Contacts
FINRA By-Laws require member firms to maintain an Internet email account on behalf of their executive representatives. This facilitates firm notification of important publications and information added to the FINRA website.

Firms wishing to change the name or email address of their executive representative or designated assistant should do so through the FINRA Contact System (FCS). See http://www.finra.org/FCS for further information. Requests from executive representatives to be removed from this email notification list cannot be honored.

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