Divorce can impact all aspects of your life, including your financial responsibilities and goals. But there are ways that can help you better understand—and stay in control of—your investments.
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
Guidance on Social Networking Websites and Business Communications
Rule 2210 does not require member to approve, file or maintain as advertising records certain statistical information that is regularly updated on firm's web site.
SummaryIn this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act)). In Regulatory Notice 10-22 (Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings), FINRA reminded members of
By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard to build a culture of continuous improvement across FINRA—and we have come a long way, including by restructuring departments, building new technology capabilities, improving coordination across different functions, enhancing transparency, and identifying ways to be more risk-focused.
Date
Feature
Description
December 15, 2022
Requests and Filings
Filters:
Re-design in the layout
Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
Mapped the Type filters under their associated “parent” Category filters
Enabled the multi-select capability under each
On Oct. 16, 2024, the Cybersecurity & Infrastructure Security Agency (CISA) released Cybersecurity Advisory - AA24-290A, which provides threat actors’ tactics, techniques, and procedures (TTPs) and indicators of compromise (IOCs) associated with Iranian cyber actors. In light of the historical proclivity of Iranian threat actors targeting the financial services industry, FINRA is sharing this information with member firms.
Summary
In April 2018, FINRA launched a retrospective review of the annual compliance meeting (ACM) requirement in Rule 3110(a)(7) and corresponding Supplementary Material .04 (SM .04), to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant and appropriately designed to achieve
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overview of the 2025 FINRA Annual Regulatory Oversight Report.
