Summary
Several member firms recently notified FINRA that they have experienced email account takeovers (ATOs) while using cloud-based email platforms, including Microsoft Office 365 (O365). Attackers used compromised email accounts to defraud member firms by requesting fraudulent wire requests or stealing confidential firm information or non-public personally identifiable information (PII).
What kind of nonsense is this - the two companies that run the two leveraged ETFs I own both sent me email alerts about FINRA's potential rule changes this morning, urging me to submit comments on the rules, which have a deadline of only 5 days away?!? That's so unfair it's like FINRA doesn't care what investors have to say, their minds are made up. Consider
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
Whats next Fried chicken and alcohol can also be bad for you. Are you going to create a rule for people to pass a health test and a written test to be able to eat fried chicken and drink alcohol??
Its called freedom of choice. Protect it. Dont take it away.
This is supposed to be a free country, That should also be true for investing. We do not need testing imposed on us to invest in public funds. Please do not take away our ability to make money when stocks fall! Did you have to take a test to be a legislator?
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
SUGGESTED ROUTING*
Senior ManagementInstitutionalLegal & Compliance OperationsSystemsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 18, 1990, the Securities and Exchange Commission (SEC) approved an NASD proposal to require market makers in NASDAQ to display quotation size greater than or equal to the
A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post.
I have the right to choose the public investment and believe leveraged ETF is important options to my strategies.
Leveraged index ETFs are no risky than individual stocks.
Setting up a test do not guarantee investment competence. Becoming an financial advisor requires taking tests but the performance is not spectacular.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 5, 1986, 52 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,505. These 52 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
