These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.
March 9, 2009
Dear Executive Representative:
We are writing to highlight new and existing areas of particular significance to FINRA's examination program for 2009. We hope you will use the information in this letter to gain valuable insight into some key FINRA examination topics, and to help you assess your firm's compliance and supervisory programs.
Before discussing specific
IMPORTANT
TO: All NASD Members and Other Interested Persons
In November 1984, the SEC approved, by a split vote, the NASD's longstanding petition that the Commission amend its rule governing the qualifications for companies seeking inclusion in the NASDAQ National Market System.
This landmark decision which, in essence, substitutes qualitative standards for market activity criteria, made an
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-3 Records to be made by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from FINRA's Crypto Asset Investigations Team. This dedicated group of investigators specialize in conducting complex crypto asset investigations and share more about the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.
TO: All NASD Members
The Securities and Exchange Commission has adopted amendments to the NASD Rules of Fair Practice and Code of Procedure which were approved by a membership vote pursuant to Notice to Members 85-43, dated June 12, 1985.
The new rules provide the NASD with an additional regulatory tool in monitoring the financial and operational condition of members that are not designated to
We publish The Neutral Corner
to provide arbitrators and
mediators with current updates
on important rules and
procedures within securities
dispute resolution. FINRA’s
dedicated neutrals serve parties
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FINRA forum by taking advantage
of this valuable learning tool.
This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
