Call for Candidates for Committee Elections 

Features

• Call for Candidates for Committee Elections  
  FINRA will hold elections next month to fill vacancies on our Small Firm Advisory Committee (SFAC) and Regional Committees. These committees serve as key venues for member firms to offer input on FINRA regulatory programs, share perspectives on industry trends, and consult on proposed policies and rule changes. One seat from the New York region is up for election on the Small Firm Advisory Committee. In the Regional Committee elections, the South and West regions each have six seats to fill, while the Midwest, North, and New York regions each have four vacancies.  
  
  Interested individuals should review the SFAC Election Notice and Regional Election Notice for details on candidate eligibility, the election process, and other information. To be included on the ballot, eligible candidates must submit an SFAC candidate profile form or Regional candidate profile form to FINRA’s Office of the Corporate Secretary by Oct. 6 via email. 
   
• Register for Cyber and Financial Crimes-Focused Education 
  FINRA continues to expand its educational programs to help member firms strengthen cyber defenses and stay ahead of emerging threats. We invite you to sign up for two free webinars on cyber and financial crimes that we are holding this month and next. Registration is also open for our hybrid Cyber Crimes Conference and several hands-on compliance workshops with tabletop exercises covering the following topics: 
   
  • safeguarding trading infrastructure from cyberattacks,
  • protecting your organization from insider threats,
  • preventing senior investor exploitation,
  • data breach response, and more.  
     
• New Research Uncovers Confidence Gap in Financial Decision-Making 
  People are more confident in their ability to make decisions about managing their money than they are about distinguishing good financial information from bad, according to a new report from the FINRA Investor Education Foundation. The research also found that they value the substance of a source of financial information far more than its popularity when making decisions. These findings are based on a national survey that studied the information channels consumers use to make financial decisions, whether and how they evaluate this information, and their confidence in doing so. 
   
• U.S. Treasury Calls for Large Position Reports  
  The Treasury Department issued a notice calling for Large Position Reports from those entities whose positions in the 4-5/8% Treasury Bonds of February 2055 (CUSIP 912810UG1) equaled or exceeded $6.9 billion as of June 2. Reports must be received by Treasury before 12 p.m. on Sept. 15. 
   
• Investor Insights on Tips for New Investors 
  Put your financial house in order. Set clear goals. Pay attention to costs and fees.  These are key steps people should take before embarking on their first investment, according to a new Investor Insights. Member firms are free to share this article, and other Investor Insights, with customers.  
   
• ICYMI: FINRA to Provide Faster Match Status Information in TRACE 
  Starting Sept. 15, match status reports will be available for member firms’ interdealer trade reports in TRACE-eligible securities. The reports will be generated daily at five-minute intervals, and provide the match status for a firm’s interdealer transactions in corporate and agency debt, securitized products, and Treasury securities submitted to TRACE. The reports, which were requested by member firms, will also provide a reason for any unmatched trades. More information is available in this user guide. Or you may contact [email protected] or (888) 507-3665 with questions.

• Committee Election Notices: See above feature for details. 
   
• Large Position Reports: See above feature for details.