FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
I would like to point out two proposals that I absolutely think must be accepted. The others are still very good to increase accountability and reestablish some semblance of trust. "Synthetic Short Positions: In addition, FINRA is considering requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic
I wish to retain my ability to trade leveraged funds. I understand the risk and stay informed where such funds are involved.
I am a retail investor and use leveraged ETFs for a portion of my portfolio. Before buying these leveraged ETFs, I did a significant amount of research to understand the risks. This included back testing how the funds would behave in different market and monetary conditions. I also read the prospectuses for the funds. All this information was available and provided sufficient information on the
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Senior ManagementLegal & ComplianceOperationsRegistration
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EXECUTIVE SUMMARY
The NASD reminds members that the NASD By-Laws and Rules of Fair Practice require that complete and accurate information be provided on Forms U-4 and U-5 and that members are responsible for investigating a
This Friday – July 1, 2022 – will mark the 20th anniversary of FINRA’s Trade Reporting and Compliance Engine, known as TRACE to everyone in the fixed income industry and regulatory community. TRACE is FINRA’s real-time, over-the-counter price dissemination service for the fixed-income market, bringing transparency to the debt markets, including corporate and agency debt as well as asset- and
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Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a
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As a retail investor I would like to see many changes made to the way you gather short position information. I like collecting the information daily and also reporting synthetic shares. It seems to me that the market markers and hedge funds have way too much freedom to do as they see fit with very little oversight and little to no punishment handed out when they are caught in the wrong. Real
On This PageThe FINRA CRCP CE Reporting and Tracking SystemNavigating the CRCP CE Reporting SystemViewing and Changing Your ProfileViewing CRCP CE CreditsReporting Credits EarnedVerifying Compliance with CRCP CE RequirementsSign-in With GoogleAdditional AssistanceThe FINRA CRCP CE Reporting and Tracking SystemWhat is the FINRA CRCP CE System?The FINRA CRCP® CE System is a web-based portal for
