FINRA member firms that use SentinelOne Endpoint Detection and Response (EDR) protections—and potentially other EDR service providers—should be aware of a vulnerability which could allow threat actors to gain local administrative access to publicly accessible servers. This Cybersecurity Advisory describes the vulnerability as well as recommendations to protect your firm.
INFORMATIONAL
Membership And Registration Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Direct Participation Programs Limited Principal (Series 39)
Direct Participation Programs Limited Representative (Series 22)
Equity Trader Limited Representative (Series 55)
Financial and
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has revised the NASD Sanction Guidelines (Guidelines), which are used by the various bodies that adjudicate disciplinary matters (Adjudicators) to determine appropriate remedial sanctions. The National Business Conduct Committee (NBCC)
Timely and complete reporting of all information required by the FINRA By-Laws and rules, as well as the federal securities laws is critical. The Securities and Exchange Commission, FINRA, other self-regulatory organizations and state securities regulators use the information to make licensing and registration decisions, among other uses. FINRA also uses the information in BrokerCheck, which
The premise of having public securities is the amount of available information to make an intelligent and informed decision. Leveraged ETFs come with enough information. There are stocks from other countries listed that do not adhere to standard accounting practices or disclosures. Why target Leveraged ETFs and not the other investments?
By Robert Cook, President and CEO, FINRA. Last month, the SEC issued an exemptive order providing significant relief from the personally identifiable information (PII) reporting requirements of CAT (the Exemptive Order). This was an important step towards reducing unnecessary PII risk associated with CAT, and was directionally consistent with a blog I previously wrote calling for CAT to stop collecting and storing investors’ PII. As discussed below, however, the Exemptive Order did not eliminate all PII from CAT.
INFORMATIONALSanction GuidelinesSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementDeterrence of Future MisconductNASD Sanction GuidelinesExecutive SummaryThis Notice advises NASD members of modifications to the NASD Sanction Guidelines (Guidelines). NASD is modifying General Principles Nos. 1 and 3 of the Guidelines to
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
GUIDANCE
Cost Basis Information
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Cost Basis Information
Rule 2110
Executive Summary
It has come to NASD's attention that some members may be purposely interfering with the transfer of cost basis
