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Due to increased reports related to cyber incidents occurring at FINRA member firms which have been attributed to specific threat actors, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision Program is highlighting a recent joint Cybersecurity and Infrastructure Security Agency (CISA) and Federal Bureau of Investigation (FBI) Cybersecurity Advisory published on November 16, 2023, which may be updated as new intelligence is uncovered.
FINRA is implementing a new system for OTC Issuers, ADR depositary banks and other parties to provide notice of company-related actions pursuant to SEA Rule 10b-17 and FINRA Rule 6490.
Effective Monday, November 20, 2023, FINRA will be replacing the current Electronic Issuer/ADR Company Related Action Notification forms with the Corporate Actions Management Platform. This new platform will be
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
(a) Composition of Panels
The arbitrator will be a public arbitrator selected from the public chairperson roster, unless the parties agree in writing otherwise.
(b) Generating Lists
(1) The list selection algorithm will generate a list of 10 public arbitrators from the FINRA chairperson roster.
(2) The list selection algorithm will exclude arbitrators from the lists based upon current
Exchange Act Rule 15c2-11 (the “Rule”) governs the publication or submission of quotations by broker-dealers in a quotation medium other than a national securities exchange (i.e., the OTC market). The Rule generally prohibits a broker-dealer from publishing a quotation for any security in a quotation medium unless the broker-dealer has reviewed current and publicly available information about the issuer whose security is the subject of the quotation, and the broker-dealer believes this information is accurate and obtained from a reliable source. Municipal securities and other “exempt securities” (e.g., government securities, Treasury securities) are not subject to the Rule.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is providing for members' use the Penny Stock Risk Disclosure Document as recently amended by the Securities Exchange Commission (SEC), which brokers/dealers are required to furnish customers
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 23, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws and Article IV, Section 5 of the
This User Support page provides links to help and training resources for users of CRD. Listed below are a variety of user support documentation created to provide CRD users with assistance that ranges from high-level overview to step-by-step detailed instructions.
FINRA Names Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence
WASHINGTON—FINRA announced today that it has appointed Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence. He will assume the role on January 2.In the newly created role, Talib will be responsible for leading FINRA’s surveillance program, which serves a unique and critical role in fostering the integrity of the U.S. securities markets. As the markets have
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) today announced the launch of a new, redesigned version of its website, www.finra.org. Key features of the site include a streamlined design, enhanced search and navigation, and a mobile-friendly platform providing a more simplified and user-friendly experience.
Richard Ketchum, FINRA Chairman and Chief Executive Officer, said,