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Regulatory Notice 20-35

FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey

Summary

FINRA warns member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA asking member firms to complete a survey (see sample below). The email was sent from the domain “@regulation-finra.org” and was preceded by “info” followed by a number, e.g., [email protected]regulation-finra.org. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.

The domain of “regulation-finra.org” is not connected to FINRA and firms should delete all emails originating from this domain name.

FINRA has requested that the Internet domain registrar suspend services for "regulation-finra.org".

FINRA reminds firms to verify the legitimacy of any suspicious email prior to responding to it, opening any attachments or clicking on any embedded links.

For more information, firms should review the resources provided on FINRA’s Cybersecurity Topic Page, including the Phishing section of our Report on Cybersecurity Practices -2018.

Questions regarding this Notice should be directed to Dave Kelley, Director, Member Supervision Specialist Programs, at (816) 802-4729 or by email.