FINRA member firms should be aware of an ongoing phishing campaign involving threat actors targeting executive employees at broker-dealers and investment advisors with fraudulent emails purporting to be from FINRA executives. The campaign began on or around May 21, 2025. These emails are not from FINRA, and firms should delete them and consider blocking the indicators of compromise contained at the end of this alert.
It's all about taxing Investors at variable rates and Interest earnings! DD.
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I strongly disagree. I do not believe that the government should be telling us how to invest our money. This is no different than having the government create a tax that we would pay and then entrusting legislatures to repay as an annuity. Please tell me how that has worked???
I use both bull and bear leveraged ETF's as a means to control losses (insurance for other investments).
I
Summary
In April 2018, FINRA launched a retrospective review of the annual compliance meeting (ACM) requirement in Rule 3110(a)(7) and corresponding Supplementary Material .04 (SM .04), to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant and appropriately designed to achieve
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.
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As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign
NASDR has filed with the SEC proposed new Interpretive Material 2210-5 and conforming amendments to existing IM 2210-2 and Conduct Rule 2210 of the National Association of Securities Dealers, Inc., relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information.
In addition to checking and savings accounts, your local bank may offer you investment accounts that you can use to save for college or retirement, insurance coverage for your home or your life, or annuities to help you generate retirement income.
Guidance on Donations Due to Federally Declared Major DisastersQ: Would it be consistent with FINRA Rule 3220 (Influencing or Rewarding Employees of Others) for a member or an associated person to donate goods or money (either directly or through a fundraising platform) to employees of an institutional customer for losses sustained due to a federally declared major disaster? NEWA:&
