TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 7, 1986, 29 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,214. These 29 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, we hear from four leaders within FINRA's Member Supervision department to discuss highlights from the 2024 report.
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the second quarter of 1986. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
Notice Number
Date
Topic
86-24
April 4, 1986
SIPC Trustee
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the fourth quarter of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-65
October 1, 1985
SIPC Trustee
ONNX Store, a Phishing-as-a-service platform (PhaaS), is targeting Microsoft 365 (M365) accounts at FINRA member firms with an advanced social engineering attack known as quishing: a business email compromise (BEC) attack that uses QR codes in embedded PDF documents to redirect victims to phishing URLs.
Read time: 4 minutes
Shubham Agrawal, a Senior Security Engineer with FINRA, discovered that the Amazon EC2 Autoscaling service lacked PassRole validation check for one of its commands, CreateLaunchConfiguration. This can lead to “privilege escalation” in the AWS cloud, which is gaining elevated access or jumping from a lower privileged role to higher privileged one. This blog discusses the
Chairman Sarbanes, Ranking Member Gramm, members of the Senate Banking Committee, thank you for this opportunity to testify today on the vital, troubling and timely issues of investor protection and accounting highlighted by the collapse of Enron. It would be hard to overstate the human tragedy for Enron’s employees, pension-holders and investors caused by the failure of America’s seventh largest company.
FINRA is pleased to announce the U.S. Securities and Exchange Commission's recent approval of FINRA's proposal to expand its transparency initiative for over-the-counter (OTC) equity securities.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined D.A. Davidson & Co., of Great Falls, MT, $375,000 for its failure to protect confidential customer information by allowing an international crime group to improperly access and hack the confidential information of approximately 192,000 customers.
