INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council), on which the National Association of Securities Dealers, Inc. (NASD®) participates, has
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A second production User Acceptance Test (UAT) will occur on
The Communications with the Public section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
In relationship investment scams, fraudsters often hide their true identities, reach out to unsuspecting targets (often online or through text messages), gain their trust over time, and then defraud them through fake investments. These scams are sometimes referred to by terms including romance scams, “cryptocurrency” investment scams, financial grooming scams, and “pig butchering scams.” Learn more about these scams and red flags to watch for.
REQUEST FOR COMMENT
Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds
Comment Period Expires March 12, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Closed-End Funds
Commodity
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
On April 22,1997,the Securities and Exchange Commission (SEC) approved amendments to the Interpretation on the Release of Disciplinary Information (NASD®IM-8310-2).These amendments authorize the release of public information on disciplinary complaints and non-final disciplinary decisions that
Summary
FINRA has received reports about increasing numbers and sophistication of ransomware incidents. Ransomware typically involves bad actors gaining unauthorized access to firm systems and encrypting or otherwise accessing sensitive firm data or customer information, then holding that hijacked data for ransom. Some ransomware attacks have become significant threats that include theft of data
By checking "I Agree" or accessing or using the FINRA Fixed Income Data website or the data and other information available on the FINRA Fixed Income Data website (the “Data”), you acknowledge and agree to terms of this User Agreement (including the Third Party Terms and Disclaimers below) and all other applicable terms posted on the FINRA Fixed Income Data website. Please read them
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
(a) Except as provided in paragraph (b), no member shall, directly or indirectly, give, permit to be given, or offer to give, anything of value to any person for the purpose of influencing or rewarding the action of such person in connection with the publication or circulation in any electronic or other public media, including any investment service or similar publication, Web site, newspaper
