As part of FINRA’s program to monitor firms for compliance with the SEC’s Regulation M, FINRA’s Market Regulation department reviews over-the-counter (OTC) trading and quoting activity for prohibited purchases, bids or attempts to induce bids or purchases during the applicable restricted period, and for prohibited short sales during the five-day period prior to pricing the offering.
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.
FINRA invites member firms that participate, or plan to participate, in the security-based swap (SBS) market to provide views and information with regard to broker-dealer SBS activities, including the application of FINRA rules to those activities. Any other interested party is also invited to submit views and information. FINRA welcomes views and information on all aspects of SBS activity,
Ombuds (o Ombudsman) es un término originario de Suecia y significa representativo. La International Ombuds Association (Asociación Internacional de Ombuds) describe a un ombuds como "alguien que ayuda a individuos y grupos en la resolución de conflictos o preocupaciones".
La Oficina del Ombuds de FINRA es un recurso independiente, neutral y confidencial para cualquier persona que
Executive Summary
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register—63 FR 37667 on July 13, 1998. Complete Rule information is also
Firms and associated persons are required to provide complete, up-to-date and accurate information on registration forms (e.g., Form BD, Form U4, Form U5 and other forms) (“Filings”). Some of the information required to complete these Filings is personal information. Please review the guidance provided on this page on how to protect this information.Personal Information RequiredAs a matter of
Advertising Department's response to recommendations of the Investment Company Institute concerning member use of hyperlinks.
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It can devastate your credit rating and derail financial security. Here's how you can protect yourself.
The following web service files provide the schema and sample files.
