Important notes to consider when searching the FINRA Disciplinary Actions Online Database
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the e-mail addresses “[email protected]” and “[email protected]”. The e-mail addresses and domain “data-finra.org” are not connected to FINRA, and firms should delete all emails originating from these domains. Member firms should be aware that they may receive similar phishing emails from other domain names in addition to those identified in this Alert.
INFORMATIONAL
Terrorist Activity
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Office of Foreign Assets Control
Terrorist Activity
Executive Summary
At midnight on September 24, 2001, President Bush issued Executive Order 13224 (Executive Order) freezing the property of and prohibiting transactions with persons who commit,
The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models and processes. While the true implications of the metaverse may not be known for years, the report analyzes potential applications, use cases and challenges for member firms and notes certain regulatory considerations.
The Trusted Contact Persons 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.
As a retail investor, I firmly believe that the market NEEDS more transparency and regulation. If the FINRA is going to collect information on short interest accounts, arraigned financing agreements, and Failure or To Delivers, they should collect as much information as possible and retail investors should be able to use that information to make informed decisions. A. Publication of Short
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
February 12, 2002
The NASD Market Regulation staff urges firms transmitting order data to OATS via e-mail consider the option of downloading rejected data and resubmitting the file(s) via email. The NASD has established a new feature accessible via the OATS web site that will make the retrieval and resubmission of large volumes of rejected data easier and less time-consuming. On the OATS web
Summary
This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
FINRA welcomes the
We investors need the access to all investment options. Leave inverse investments alone and let us be warned and informed by the information that is available.
