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This article highlights some of the common cybersecurity threats faced by broker-dealers. In a number of cases, FINRA has observed that different types of attacks were coordinated and overlapped.
Phishing – Social engineering or “phishing” attacks remain one of the most common cybersecurity threats firms have discussed with FINRA. Many firms experienced situations where employees provided
FINRA has resolved the issue with ADDS, and the Trade Journals are now available.
Questions regarding the notice may be directed to FINRA Market Operations at 866-776-0800.
I have been investing for a number of years and feel i am the one that should make these decisions. When you take these types of things away you are interfering with the free market and it never runs the same. Over the years i have noticed that your regulations make things more difficult and just end up costing the investor more headache and money.
This comment is reference proposed FINRA Regulatory Notice # 22-08. I am against any regulation that limits my ability to invest in any mutual fund, ETF or stock. This includes mutual funds and ETFs that are leveraged or work inverse to a particular index. I am capable of understanding the risks, and rewards of these type investments. We do NOT need another regulation! Bill Hiemer
Hello,
I have been using Leveraged ETFs for about 13 years and have not had an issue on understanding this product and I am a retailer investor. I think the companies have plenty of info on their website to understand the product. If not there is google to better understand it. I dont see the need to restrict access to these products. Maybe a notice to read more info about it should suffice.
Sec. 3. (a) Following the termination of the association with a member of a person who is registered with it, such member shall, not later than 30 days after such termination, give notice of the termination of such association to the Corporation via electronic process or such other process as the Corporation may prescribe on a form designated by the Corporation, and concurrently shall provide to
I do not think this is fair for low networth investor who may not have opportunity to earn high return vs high networth investors. It is discrimination because public investment should be available to everyone without restriction or requirement to obtain any special training. You can give notice of high risk speculation but cannot regulate public investments.
To Whom It May Concern:
Your recent notice, FINRA Regulatory Notice #22-08, seems very problematic for everyday investors. Leveraged and/or Inverse funds serve very important functions for retail public investors. Most of the time, they provide the only way for a retail investor to cost effectively hedge a position or a certain exposure. For example, earlier this year my wife and I were waiting
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, May 8, 2021 from 10 a.m. through 2 p.m. ET During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
FINRA has also made minor cosmetic changes to the MFA process; beginning October 30, 2023, it will:
Remember the user's last-used security