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With the holiday season upon us and 2023 coming to an end, FINRA’s Cyber and Analytics Unit (CAU) would like to remind member firms to prepare for cyber threats and attacks that may occur around the holidays. Member firms and their vendors should consider reviewing and validating their Written Supervisory Procedures (WSPs), continuing to educate their employees with respect to cybersecurity and effective practices, and testing incident response plans (IRPs) to prepare for, prevent, or recover from an incident.
OATS Phase III Frequently Asked Questions
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The Manipulative Trading topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Effective July 1, 2024, The FINRA Product Management department will be renamed to FINRA Client and System Management (CSM). This change will have no systemic effect for users interfacing with FINRA; only the Product Management departmental name and the email link to reach the group will be modified as described in the table below. All client documentation such as FIX, TRAQS, API, and data
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA
At the end of this tutorial, you should be able to set up a generic JS project using Angular and Grunt as a task runner. The project should be able to unit test, generate test coverage report, and minify the source codes with minimal configuration. This guide can help developers who are unfamiliar with JS frameworks and tools to start learning.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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Senior Management
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) By-Laws were recently amended to require members' Executive Representatives to maintain electronic mail accounts for the purpose of updating firm contact information electronically