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(a) When Held
The hearing shall be held not later than 15 days after service of the notice and filing initiating the proceeding, unless otherwise extended by the Chief Hearing Officer or Deputy Chief Hearing Officer for good cause shown. If a Hearing Officer or Hearing Panelist is recused or disqualified, the hearing shall be held not later than five days after a replacement Hearing Officer or
Uninvested cash is a potentially valuable part of your investment portfolio. So it pays to pay attention to it, especially when interest rates move up or down. Understand the facts about your uninvested cash, the different cash management programs available and questions to ask.
During this session, FINRA staff discuss the recent MOVEit vulnerabilities that impacted several FINRA member firms, how FINRA responded, and practices that firms may find useful in mitigating the risks posed by ransomware. This webinar also includes a discussion on the CAU in more detail and what types of intelligence you can expect from FINRA moving forward.
Speakers:
Brita Bayatmakou, Vice
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as approved by the SEC pursuant to SR-FINRA-2015-036. The proposed rule change would amend, under FINRA Rule 4210, paragraphs (e)(2)(H), (e
FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
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
Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
TRACE Monthly Volume Report for 2016