FINRA is reviewing the sale of structured products to investors. In connection with this review, we request the following information for the period of January 1, 2007 to May 31, 2009 (“the review period”).
FINRA is reviewing activities of member firms acting as or working with placement agents in soliciting and/or obtaining business with municipalities and public pension funds.
FINRA's Enforcement Department is conducting a review of broker/dealers that provide Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA") to their customers.
File Transfer Applications (e.g., Shorts, Blue Sheets, ATS, REG M File Transfer, IFDF File Transfer and Rex File Transfer, etc.) are used by organizations to send and receive files through FTP.
The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
FINRA’s Enforcement Department is conducting an inquiry with respect to forex trading.
In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
FINRA is reviewing transactions with retail customers of certain fixed income products known as “Gas Bonds.”
FINRA is reviewing retail municipal securities transactions. In connection with this review, we request your firm to produce the following information relevant to retail customer municipal transactions by your firm for the period from January 1, 2009 through March 31, 2009.
The Red Flags Rule requires that each "financial institution" or "creditor" --which include most member firms--implement a written program to detect, prevent and mitigate identity theft in connection with the opening or maintenance of "covered accounts."
