Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
As of March 14, 2025, Texas’ and Washington’s Form BR settings were updated to reflect that they now accept Residential Supervisory Locations.
SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
By Robert Cook, President and CEO, FINRA. Last month, the SEC issued an exemptive order providing significant relief from the personally identifiable information (PII) reporting requirements of CAT (the Exemptive Order). This was an important step towards reducing unnecessary PII risk associated with CAT, and was directionally consistent with a blog I previously wrote calling for CAT to stop collecting and storing investors’ PII. As discussed below, however, the Exemptive Order did not eliminate all PII from CAT.
Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and look for warning signs before you commit to an investment.
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It can devastate your credit rating and derail financial security. Here's how you can protect yourself.
Maureen A. DelaneyChief Hearing Officer and Senior Vice PresidentFinancial Industry Regulatory AuthorityMaureen Delaney is the Chief Hearing Officer at FINRA. She has been a Hearing Officer in FINRA’s Office of Hearing Officers since 2009. Prior to joining the Office of Hearing Officers, she served as Senior Counsel in FINRA’s Department of Enforcement in Washington, D.C. Before joining FINRA, Ms
Learn about common fraud tactics and scams and how to avoid them; how to check registration for sellers and investments; and what questions to ask to protect yourself and your assets.
Many financial scams involve unregistered or unlicensed individuals, or the sale of unregistered investments. That's why it’s particularly important to ask questions about investments and investment professionals and do your own research to confirm their answers.
I hope the $100 annual gift limit will be part of your review. This has been the limit for too many years and has not evolved to keep up with inflation and reasonable costs of items. It has been rumored to be part of discussions but never any update. Thank you.
