NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
WASHINGTON—FINRA’s Board of Governors met June 4-5. The Board approved two rule proposals, approved the appointments of new Advisory Committee members, met with Securities and Exchange Commission (SEC) Commissioner Mark Uyeda, and received updates on FINRA’s long-term financial planning and FINRA’s enterprise risk management and cybersecurity program.
FINRA member firms that use SentinelOne Endpoint Detection and Response (EDR) protections—and potentially other EDR service providers—should be aware of a vulnerability which could allow threat actors to gain local administrative access to publicly accessible servers. This Cybersecurity Advisory describes the vulnerability as well as recommendations to protect your firm.
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement to the regular fourth quarter FOCUS report. Schedule 1 requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. I believe this form is
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement to the regular fourth quarter FOCUS report. Schedule 1 requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. I believe this form is
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Reporting of Corporate and Agencies Debt Frequently Asked Questions (FAQ)
