Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the September 2024 FINRA Board of Governors Meeting.
Notice of FINRA Small Firm Advisory Board Election and Ballots
I don't want to be parented by a government agency that wants to take away investor's rights and destroy a free market system wherein investor's determine their own suitability and investment goals. The proposed changes are an invasion into investor's private affairs. I very well can read a prospectus and decide for myself without any further governmental
Summary
FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms. Firms have, for example, identified signature issues involving a wide range of forms, including account
To the extent that the Applicant or Associated Person is subject to unpaid arbitration awards, other adjudicated customer awards, unpaid arbitration settlements or, for new member applications, pending arbitration claims, the Applicant may submit with an application documentation that evidences the ability to satisfy all such awards, settlements or claims through supporting documentation. Such
REQUEST FOR COMMENT
Proposed Rule to Enhance
Confirmation Disclosure in Corporate
Debt Securities Transactions
Comment Period Expires April 19
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered Representatives
Senior ManagementTechnologyTraining
ConfirmationsDebt SecuritiesOperationsTransaction Reporting
Executive Summary
NASD is requesting
FINRA is highlighting a recent joint Cybersecurity and Infrastructure Security Agency (CISA) and Federal Bureau of Investigation (FBI) Cybersecurity Advisory published on August 30, 2023, which may be updated as new intelligence is uncovered.
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
May 9, 2001
Mr. John W. Marcus
Chairman
PIBC Securities LLC
640 Fifth Avenue
New York, NY 10019
Re: Exemption Request from Fidelity Bonding Requirements
Dear Mr. Marcus:
I am responding to your letter of November 21, 2000, in which you request that PIBC Securities LLC ("PIBC") be exempt from the requirement to maintain a fidelity bond under NASD Rule 3020. Specifically, your
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
