Smishing is a tactic in which scammers send unsolicited messages to targets over short message service (SMS), or text messages. A newer development with this type of fraud involves scammers requesting that targets respond to messages to get around protections that automatically deactivate hyperlinks in messages received from unknown numbers.
FINRA's Dispute Resolution Services (DRS) helps investors and firms resolve securities-related disputes through arbitration and mediation. We provide a fair, efficient and effective forum for resolving disputes involving brokerage firms and their brokers.8,000+well-qualified arbitrators drawn from a variety of professions and backgrounds.84%of customer arbitration cases closed
To ensure a fair, balanced, inclusive market where everyone can invest with confidence, we require individuals and firms who wish to conduct business with the investing public to achieve and maintain certification as members of FINRA. FINRA-certified brokers have registered and undergone stringent Qualification Exams and are required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
I've been securities licensed for about two decades and thrilled to hear about this proposal to Simplify Requirements Regarding Associated Persons’ Outside Activities. I can't remember a single client ask me about any of my listed OBAs (they are not securities related) or any colleagues OBAs. I work with an advisor who filed bankruptcy and that's no longer available for clients
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Publication Date: March 20, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3 Customer protection — reserves and custody of securities.Except where otherwise noted, § 240.15c3-3 applies to a broker or dealer registered under section 15(b) of the Act (15 U.S.C. 78o(b)), including a broker or dealer also registered as a security-
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In a dynamic market, financial regulations change frequently because new technologies and opportunities for investors emerge. As the first line of oversight for the brokerage industry, FINRA is your best resource for information. We serve as a clearinghouse for all the latest compliance news, rules and regulations. Join us at our conferences, educational events and webinars to talk about what the newest developments mean for you.
