FINRA is highlighting recently reported vulnerabilities that impact Citrix NetScaler services including NetScaler ADC and NetScaler Gateway. Threat actors can exploit these vulnerabilities to exfiltrate sensitive information and to infect data and systems with ransomware. These Citrix services are typically used in support of internet-based application systems, to balance and manage incoming requests, and to enhance security and resiliency.
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
(a)
/01 Reserved.
/02 Information to be Disclosed
Statements of accounts to customers must clearly and prominently disclose on the front of the statement:
1. the identity of the introducing and carrying
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
SummaryFINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:this year’s CE Regulatory Element training assignments and completion deadline of December 31, 2024;resources available to firms for facilitating compliance with the annual Regulatory Element requirements; andresources available to firms to guide in
SUGGESTED ROUTING*
Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
*These are suggested departments only
(a) Pursuant to the Rule 9600 Series, the staff for good cause shown after taking into consideration all relevant factors, may exempt, upon application and subject to specified terms and conditions, a member alternative trading system ("ATS") from the trade reporting obligation under Rule 6730, if such exemption is consistent with the protection of investors and the public interest. The
(a) Pursuant to the Rule 9600 Series, the staff for good cause shown after taking into consideration all relevant factors, may exempt, upon application and subject to specified terms and conditions, a member alternative trading system ("ATS") from the trade reporting obligation under paragraph (b) of Rule 6622, if such exemption is consistent with the protection of investors and the
(a) Pursuant to the Rule 9600 Series, the staff for good cause shown after taking into consideration all relevant factors, may exempt, upon application and subject to specified terms and conditions, a member alternative trading system ("ATS") from the trade reporting obligation under paragraph (b) of Rules 6282, 6380A and 6380B, if such exemption is consistent with the protection of
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
