In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@firms-finra.org” or “@firms-sipc.org”. Neither of these domains is connected to FINRA and firms should delete all emails originating from these domain names.
Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so take steps to ensure they provide a long-term benefit for your family. To make the most of military benefits and lump sum payments consider these tips.
Andrew Dobry joined FINRA in 2020 as a Vice President within Internal Audit. Andrew leads the Information Technology Audit Team, which provides assurance over the security and integrity of FINRA’s information assets.
Mr. Dobry has over 35 years of experience in corporate audit roles. Prior to joining FINRA, Mr. Dobry was employed by Booz Allen Hamilton, with roles as Chief Audit Executive and
(a) Failure to cooperate in the exchange of documents and information as required under the Code may result in sanctions. The panel may issue sanctions against any party in accordance with Rule 13212(a) for:
• Failing to comply with the discovery provisions of the Code, unless the panel determines that there is substantial justification for the failure to comply; or
(a) Failure to cooperate in the exchange of documents and information as required under the Code may result in sanctions. The panel may issue sanctions against any party in accordance with Rule 12212(a) for:
• Failing to comply with the discovery provisions of the Code, unless the panel determines that there is substantial justification for the failure to comply; or
FINRA’s Cyber Crime Conference (C3) is a one-day event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks. Whether you work in information security, information technology, cybercrime, compliance or are a business owner, you will learn from leading experts in the industry and participate in engaging sessions to leave you with valuable information to help you protect your organization.
A member inter-dealer quotation system (whether or not also an alternative trading system or “ATS” as defined by Rule 300(a) of SEC Regulation ATS) that permits quotation updates on a real-time basis in OTC Equity Securities must comply with the following requirements:
(a) The member inter-dealer quotation system must establish, maintain and enforce written policies and procedures
I'm retired State Service living on Social Security with little long term security! I've been a investor in Celsius since 2019 and as of April 15th informed that I can no longer receive interest benefits when investing in the future because I'm not financially influent! But I can go to Vegas at
Anytime! Eliminate this barrier!
