Member firms should be aware of an alleged large-scale data breach possibly affecting Oracle Cloud services at firms and third-party providers. FINRA recommends that firms review this information to assess any potential impact to their operations, as well as with third-party providers who provide services to the firm. FINRA previously delivered an email to firms whose domain names appeared in the threat actor post, as well as any firms that previously informed FINRA of their use of Oracle products and services.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On May 8, 1985, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above-captioned firm.
Please refer to Notice to Members 85-25 regarding the previous appointment of a Temporary Receiver.
Questions regarding the firm should be directed to:
SIPC Trustee
Richard W. Hill,
Technology is at a point where reporting times such as the current T+2 settlement is unnecessary and is being unfairly used as a tool for hedge funds and other entities to have leverage over retail investors. This can and should be transitioned to a T+0 settlement period. This modern world can transmit and receive data almost instantaneously and we should use this to help give the average
FINRA member firms should be aware of a technique threat actors use to avoid network defenders detecting the required communications of malware. On April 3, 2025, the Cybersecurity and Infrastructure Security Agency (CISA), National Security Agency (NSA), Federal Bureau of Investigation (FBI), Australian Signals Directorate’s Australian Cyber Security Centre (ASD’s ACSC), Canadian Centre for Cyber Security (CCCS) and New Zealand National Cyber Security Centre (NCSC-NZ) issued a joint cybersecurity advisory (CSA) to warn organizations of the ongoing threat of one such technique: fast flux.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On September 12, 1991, the United States District Court for the Eastern District of Texas (Tyler) appointed a Securities Investor Protection Corporation (SIPC) trustee for:
Affiliated Security Brokers, Inc.115 East Erwin
While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for women, millennials, African-Americans, Hispanics and those without a high school education, according to the NFCS, one of the largest and most comprehensive financial capability studies in the United States. The study measures four key components of financial capability—making ends meet,
To Whom It May Concern,
I am an educated, responsible, tax paying citizen of the United States that has been investing my hard earned money
in various securities for more than 40 years. I read and study financial information on a daily basis, and have been subscribing to numerous financial publications for many years. I take exception to the fact that government regulators continue to attempt to
Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee (Chair), Regulatory Policy Committee (ex officio)Professional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024.
