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Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Project Timetable*
Launch |
September 1, 2022 |
Firm Pre-launch User Testing (NTF region) |
June 27, 2022 |
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program would like to bring an important cyber-related development to your attention. The Cybersecurity & Infrastructure Security Agency (CISA) and the FBI issued a “Shields Up” warning this week regarding potential Russian cyberattacks to target U.S. organizations related to Russia’s potential destabilizing actions against Ukraine. CISA advised that while there are not currently any specific credible threats to the U.S., they recommend that all organizations, namely U.S.
Introduction
The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs.
FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.
Upcoming Webinars
Attend the June 28 FINRA Disclosure: Regulatory Actions Webinar
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure.
August 2021
FINRA is conducting a review of Firm Name practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.
Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:
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