Displaying 33911 - 33920 of 34823 Results
EssentialsThe basic purpose of life insurance is to provide financial support to people who depend on you financially—such as your spouse, partner, children or other loved ones—in the event of your death.Many types of life insurance are available. Key features to consider include the length of coverage, whether you pay fixed or variable premiums, how benefits are determined and costs of coverage.
FINRA’s Board of Governors held its fifth and final meeting of the year on December 6-7. During the meeting, the Board approved two rule proposals and FINRA’s 2024 proposed budget , and continued discussions around FINRA’s financials, including expenses and the drawdown of reserves. The Board also appointed new members to the National Adjudicatory Council (NAC) and the Small Firm Advisory Committee (SFAC), and previewed the 2024 FINRA Annual Regulatory Oversight Report.
On Monday, November 20, 2023, TRACE for Treasuries trades reported between 8:00 a.m. ET and 10:09 a.m. ET were not reflected on the FINRA TRAQs website. Treasuries transaction processing and matching were not affected by this event and no other FINRA products were impacted.FINRA will have this data restored and available for TRAQS viewing and TRAQS cancel and correction activity starting Tuesday
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to add IntelligentCross ATS (“IntelligentCross”) as a new entrant to the Alternative Display Facility (“ADF”).
On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
LockBit, one of the most deployed ransomware variants in recent years, continues to impact organizations across the globe, including FINRA member firms. Since November of 2023, FINRA has received reports from several member firms related to cyber incidents allegedly perpetrated by LockBit. The reported incidents varied in severity from no impact to significant disruptions in firms’ business operations. As a result, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision Program is notifying firms of the increased activity of this threat actor to heighten awareness and visibility of this risk. CAU is also providing a compilation of resources that outline effective practices firms may consider in response to this elevated risk.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision).