Displaying 1741 - 1750 of 28153 Results
Summary
FINRA has received an increasing number of reports regarding customer account takeover (ATO) incidents, which involve bad actors using compromised customer information, such as login credentials (i.e., username and password), to gain unauthorized entry to customers’ online brokerage accounts.
To help firms prevent, detect and respond to such attacks, FINRA recently organized roundtable
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
I appreciate many of the actions that are listed. Requiring funds to post their short positions (whether synthetic or other) should absolutely be mandatory. The lack of transparency only creates opportunities for these funds to create illusionary positions and to skirt regulatory requirements. The greater the transparency these funds are required to maintain the greater the benefit to both
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the fourth quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 3, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 2, 2020
From our review of FINRA’s website information on diversity and Regulatory Notice 21-17, it is our opinion that your efforts are commendable and on target to promoting and encouraging diversity in the industry and at FINRA. The programs that you have established e.g. your Internal Racial Justice Task Force, Annual Diversity Summit and the Racial Justice Task Force should help identify barriers to
(a) Basis for Issuance of a Temporary Cease and Desist Order in a TCDO Proceeding
The Hearing Panel shall issue a written decision stating whether a temporary cease and desist order shall be imposed. The Hearing Panel shall issue the decision not later than ten days after receipt of the hearing transcript, unless otherwise extended by the Chief Hearing Officer or Deputy Chief Hearing
SEC Approves Amendments to FINRA’s Code of Procedure
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Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-3 Security-based swap portfolio reconciliation.
15Fi-3(a) Security-based swaps with security-based swap dealers or major security-based swap participants. Each security-based swap dealer and major security-based swap participant shall engage in portfolio