Summary
This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
FINRA welcomes the
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
FINRA member firms should be aware of a supply chain attack leveraging data exfiltrated from Salesloft Drift—a third-party platform that connects the Drift AI chat agent with a Salesforce or Google Workspace instance, among others. The breach described below exposed data that could increase the risk of credential stuffing, spear phishing and social engineering attacks against member firms and their vendors. To date, we are aware of multiple impacted third-party vendors used by FINRA firms. FINRA has notified the member firms who use the affected vendors or Salesloft.
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are pending at the Securities and Exchange Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn. The information is current as of
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).
I think it's only fair that short positions are reported on the daily. We live in the information age and I don't see any reason for information to be delayed. This would make it fair for all players in the market. Thank you
Testimony Before the Subcommittee on Oversight and Investigations
Testimony of Stephen Luparello, Vice Chairman of FINRA Before the Committee on Agriculture
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) to require members to submit their order execution reports for NMS stocks to FINRA for publication on the FINRA website.
