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Summary
As work processes adjust in response to COVID-19, firms and their associated persons should take appropriate measures to address increased vulnerability to cybersecurity attacks and to protect customer and firm data on firm and home networks, as well as devices.
This alert provides firms and associated persons with measures they may use to help strengthen their cybersecurity controls in
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
FINRA will replace digital certificates with Multi Factor Authentication (MFA) for Reference data API access. Testing this change is currently available. https://www.finra.org/filing-reporting/technical-notice/api-mfa-testing-050124The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange
In recent years, FINRA created the first uniform National Senior Investor Protection Standards. On this episode, we hear an update on where those senior investor protection rules stand today, explore some of the real-world scenarios in their application and provide tips for some of the tricky conversations that financial professionals might face in connection to their application.