Registration Code Classifications
This report continues FINRA’s efforts to share information that can help brokerdealer firms further develop their cybersecurity programs. Firms routinely identify cybersecurity as one of their primary operational risks. Similarly, FINRA continues to see problematic cybersecurity practices in its examination and risk monitoring program. This report presents FINRA’s observations regarding effective
Please do not take away my ability to make my own investment choices. My ability to choose my investments should be mine, not regulators. Leveraged and inverse funds should be available to all investors, not just the wealthy.
I should not have jump through hoops to be able to choose my own investments. Leveraged and inverse funds all have a warning about their volatility that is easy to see
Comment Period Expires July 30, 1999
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Senior Management
Advertising
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Executive Representatives
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Legal & Compliance
Municipal
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Operations
Many consumers have shifted their banking and investment transactions to the time-saving apps on their phones. But along with convenience, a reliance on mobile devices has attracted scammers looking to steal information and assets. A growing type of fraud exploiting mobile phone usage is known as SIM swapping.
FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
WASHINGTON — Beginning today, FINRA is expanding its alternative trading system (ATS) transparency initiative by publishing monthly information on block-size trades occurring on ATSs. The data is available free of charge on FINRA’s website.
Under the initiative to provide additional transparency to over-the-counter (OTC) trading in equity securities, FINRA in June 2014 began publishing on its
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As of February 23, 1995, the following 41 issues joined the Nasdaq National Market, bringing the total number of issues to 3,742:
Symbol
Company
Entry Date
SOES Execution Level
ATVI
Activision, Inc.
1/27/95
200
DZTK
Daisytek International Corporation
1/27/95
SUGGESTED ROUTING:*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.The NASD published the following Notices to Members during 1991. Duplicate copies are available at $25 per monthly or special issue
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 2, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040:
Symbol*
Company
Location
AIMG
