Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA SUPPORT” with the email address “[email protected]”. The email asks the recipient to pay attention “to the report attached below that requires your immediate response” and states that “[t]he attachment contains our updated Public Policy
If naked shorting is illegal why allow loop holes around it? All short interest positions should definitely be reported. I’m a proud Retail investor in Inovio Pharmaceuticals... a company saving lives for Cancer and Covid that’s been in the top 25 shorted companies list far too long. It’s really sad that when I speak of this company I have no choice but to state how the SEC is allowing shorting
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The Cross Market Options Supervision: Potential Intrusion Report Card is a daily summary of potential exceptions identified by FINRA’s Market Regulation team.
Users who have not opted-out of notifications will receive an email indicating that new reports have been published.
The tables below provide a reference description for all the elements of the
As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original Loan-To-Value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, May 17, 2021. On that
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A final FINRA production User Acceptance Test (UAT) will occur on Saturday, April 10, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email&
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from April 30, 2021, to August 31, 2021.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments initially set forth in SR-FINRA-2020-026 and subsequently extended in SR-FINRA-2020-043 (collectively, the “Temporary Qualification Examination Relief Filings”) from April 30, 2021, to
The Neutral Corner—Volume 1, 2021
Mission Statement
Understanding the Assertion of Legal Privileges in Arbitration Proceedings
(by Steven B. Caruso and Kenneth Crowley)
Bits, Bytes and E-Discovery Fights (by Lisa Miller, FINRA Arbitrator)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Vaccine information for Hearing Purposes
COVID-19 Hearing Postponements and Virtual Hearings
Past Events
On-demand Events/Programs Featuring Reg BI Discussions
FINRA Unscripted Podcast: Regulation Best Interest and Form CRS: Two Years In | June 28, 2022
2022 FINRA Annual Conference Session: Regulation Best Interest: Lessons Learned | Recorded May 17, 2022
2021 Small Firm Virtual Conference | October 28, 2021
2021 FINRA Annual Conference | May 18 - 20, 2021
SEC
2021 Report on FINRA’s Examination and Risk Monitoring Program (February 2, 2021)
This Report on FINRA’s Risk Monitoring and Examination Activities (the Report) is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. For selected regulatory obligations, the Report: (1) identifies the applicable rule and key related
