The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Strengthen your cybersecurity knowledge and learn how to protect sensitive information. Explore common threats, controls and best practices to mitigate cyber risks.
Industry Governor – Large Firm RepresentativeChairman & Chief Executive Officer of MML Investors Services, LLC and Head of MassMutual Financial AdvisorsGovernor Since 2024Professional ExperienceChairman & Chief Executive Officer of MML Investors Services, LLC (2007 – Present)Head of MassMutual Financial Advisors (2007 – Present)Vice President & Chief Marketing Officer, The
Industry Governor – Small Firm RepresentativeChief Compliance Officer, XML Securities, LLCGovernor Since 2024Professional ExperienceXML Securities, LLCManaging equity member (2022 – Present)Chief Compliance Officer, XML Securities, LLC (2013 – Present)Chief Administrative Officer, XML Securities, LLC (2008 – 2012)XML Financial, LLCManaging equity member (2022 – Present)Chief Compliance Officer (
(a) CAT Industry Member Fees (1) Fee Assessments(A) Historical CAT Assessment 1.(i) Each CAT Executing Broker shall receive its first invoice for Historical CAT Assessment 1 in November 2024, which shall set forth the Historical CAT Assessment 1 fees calculated based on transactions in October 2024, and shall receive an invoice for Historical CAT Assessment 1 for each month thereafter in which
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
Transparency Services Legal Agreements
Eligible individuals enroll in FINRA’s Maintaining Qualifications Program (MQP), the North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for Broker-Dealer Agents (AG EVEP), or NASAA's EVEP for Investment Adviser Representatives (IAR EVEP) via FinPro. Learn more about accessing FinPro and view a selection of user guides detailing how to enroll in the
In order to perform system maintenance for TRACE Securitized Products and TRACE Corporate and Agency, the FINRA Test Facility (NTF) will be unavailable for Securitized Product and Corporate and Agency testing for the balance of the day on Thursday, October 10, 2024. This affects TRACE SP and CA FIX connections and TRAQS only. No other product in NTF is impacted by this. Production systems are
Public GovernorChief Executive Officer, FusionIQGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional ExperienceChief
