Guidance

Report / Study
Quantum Computing and the Implications for the Securities Industry
October 30, 2023
Guidance
Cybersecurity Alert - Ongoing Phishing Campaign
October 13, 2023
Guidance
FINRA Cybersecurity Advisory - SEC Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (Exchange Act Release No. 97989)
September 21, 2023
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of Joint CISA & FBI Cybersecurity Advisory (AA23-242A)
August 31, 2023
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of FBI Flash (AC-000172-TT)
August 28, 2023
Guidance
Cybersecurity Alert: FINRA Notifies Member Firms of CISA Advisory (AA23-158A)
June 16, 2023
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of CISA Advisory (AA23-165A)
June 15, 2023
Guidance
Insider Threats – Effective Controls and Practices
April 18, 2023
Guidance
Cybersecurity Alert - Ongoing Phishing Campaign
April 04, 2023
Guidance
FINRA Provides Update on Sweep: Social Media Influencers, Customer Acquisition and Related Information Protection
February 28, 2023
Guidance
Cybersecurity Alert - Ongoing Phishing Campaign
February 23, 2023
Guidance
Cybersecurity Alert - Ongoing Phishing Campaign
November 15, 2022
Media Center
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
August 09, 2022
Guidance
Cybersecurity Alert - June 16, 2022
June 16, 2022
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of Microsoft Alert (CVE-2022-30190)
June 03, 2022
Guidance
Cybersecurity Alert - FINRA Notifies Member Firms of CISA Alert (AA22-110A)
May 02, 2022
Guidance
Cybersecurity Alert - April 27, 2022
April 27, 2022
Guidance
Cybersecurity Alert - April 25, 2022
April 25, 2022
Technical Notice
FINRA Statement Regarding Spring4Shell
April 04, 2022
Guidance
Cybersecurity Alert - March 21, 2022
March 21, 2022
Guidance
Cybersecurity Alert - February 15, 2022
February 15, 2022
Report / Study
Cloud Computing in the Securities Industry
August 16, 2021
2021 Report on FINRAs Examination and Risk Monitoring Program
Anti-Money Laundering
February 01, 2021
Podcast
Overlapping Risks, Part 1: Anti-Money Laundering and Cybersecurity
October 27, 2020
2019 Exam Findings Report
Observations on Cybersecurity
October 16, 2019