FINRA welcomes comments on this paper, including input from financial industry market participants who are currently exploring metaverse technology or have identified other use cases in the securities industry.
YELLOW CARDINAL CORPORATE FINANCE, LLC9120 UNION CENTRE BLVD, SUITE 200, WEST CHESTER, OH 45069YORK SECURITIES, INC.160 BROADWAY, NEW YORK, NY 10038YORK STOCKBROKERS, INC.477 MADISON AVENUE, SUITE 643, NEW YORK, NY 10022YOSEMITE EXECUTION PARTNERS INC.409 READ DR., LAFAYETTE, CA 94549YOUNG & PARTNERS LLC535 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY 10017YOUNG AMERICA CAPITAL, LLC141 EAST
Member firms should be aware of an ongoing phishing campaign involving fraudulent emails targeting executives and purporting to be from FINRA employees, with the goal of harvesting credentials. As indicated by the full, expanded email address hidden under a masked email display name, these emails are not from FINRA, and firms should delete them and consider blocking the fraudulent domains.
REQUEST FOR COMMENTBranch Office RegistrationComment Period Expired September 3, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered Representatives RegistrationSenior ManagementBranch Office RegistrationCentral Registration Depository (CRD?)Executive SummaryNASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register
FINRA’s rules should be modernized to address economic costs, evolving markets, technology advancements, and regulatory inefficiencies. Below are key areas for modernization, including specific rules, guidance updates, and regulatory overlaps that warrant attention.1. Focus Areas for Modernizing FINRA RulesSeveral FINRA rules are outdated, overly burdensome, or fail to account for modern trading
