With a new year come new financial challenges, resolutions, and investment risks. On this episode, FINRA’s Head of Investor Education shares insights on leveraging market trends and tools to achieve your money goals in 2025.
Summary
FINRA has received reports about increasing numbers and sophistication of ransomware incidents. Ransomware typically involves bad actors gaining unauthorized access to firm systems and encrypting or otherwise accessing sensitive firm data or customer information, then holding that hijacked data for ransom. Some ransomware attacks have become significant threats that include theft of data
1) When I first joined my firm, I emphasized a BCP that answered the question, “What happens if we lose use of our primary office for an extended period of time?” With that in mind, I encouraged our office staff—particularly our IT function—to think in terms of carrying on a regular workday from an alternative location. IT spent several years gradually building up our remote working capability.
ATS Supervision Obligations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 2020
FINRA Rule 3110
FINRA Rule 4370
FINRA Rule 5210
FINRA Rule 6190
FINRA Rule 6191
Regulatory Notice 14-10
Regulatory Notice 17-22
SEA Rule 15c3-5
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis.The trading information is derived directly from OTC trades
Comment Period Expires: September 29, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests member comment on proposed amendments that would revise NASD® Conduct Rule 2830, governing the sale and
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Arbitration
Dispute Resolution Regional Offices
Mediation
Executive Summary
Effective October 6, 2006, NASD will close its Mid-Atlantic Dispute
Resolution Office. All arbitration cases currently assigned to the
Mid-Atlantic Region will continue to be
The prevalence of cybersecurity incidents continues to increase at FINRA member firms. As a result of the continued proliferation of cybercrime, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is issuing this advisory to highlight effective practices and considerations for member firms when responding to cyber incidents, including the benefits of voluntarily reporting information related to the incident to various entities.
Executive Summary
NASD is concerned about the number of increasingly complex products that are being introduced to the market in response to the demand for higher returns or yield. Some of these products have unique features that may not be well understood by investors or registered persons. Others raise concerns about suitability and potential conflicts of interest. While NASD has and will
