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.
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (the Council) includes 13 members representing a cross section of securities firms and six members from self-regulatory organizations.1 Both the Securities and Exchange Commission
Advances in technology have transformed the workplace for members and their associated persons. These advances have changed how members and their associated persons conduct business and interact with customers, expanded customers’ choices in engaging with members and the securities markets, and created opportunities for different workplace arrangements for members and associated persons. Members also increasingly leverage digital innovations to create operational efficiencies and optimize decision-making, and to respond to investor demand for digital platforms.
Rule Filing Status As Of July 7, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are either pending at the Securities and Exchange Commission (SEC) or recently have been approved by the SEC and have not been announced in a Notice to Members. The information is current as of July 7,
Member firms should be aware of an alleged large-scale data breach possibly affecting Oracle Cloud services at firms and third-party providers. FINRA recommends that firms review this information to assess any potential impact to their operations, as well as with third-party providers who provide services to the firm. FINRA previously delivered an email to firms whose domain names appeared in the threat actor post, as well as any firms that previously informed FINRA of their use of Oracle products and services.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved rules1 submitted
Comment Period Expires January 31, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
NASD Regulation, Inc., is soliciting member comment on a proposal to discontinue after January 1, 1999, complimentary hard copy distribution of NASD Notices to Members and NASD Regulatory & Compliance Alert, which are currently available for
The Special Investigations Unit (SIU) within FINRA’s National Cause and Financial Crimes Detection program issued this alert to highlight the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) orders under new authority to counter illicit opioid trafficking. The alert further reminds firms of their requirements under FINRA Rule 3310 (Anti-Money Laundering Compliance
INFORMATIONAL
Continuing Education — In-Firm Delivery Of The Regulatory Element
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
NASD Membership and Registration Rule 1120
