Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
How can a firm find out which registered individuals have completed their current CE requirement?
Firms will continue to have access to dynamic reports in FINRA Gateway to assist with tracking the CE status of registered individuals. This report shows which individuals have begun and completed CE.
Can firms set up notifications for registered individuals about their CE requirements?
Background
The Military Personnel Financial Services Protection Act ("Military Act") was enacted to protect members of the U.S. Armed Forces from unscrupulous practices regarding sales of insurance, financial and investment products. Congress amended Section 15A(b) of the Securities Exchange Act of 1934 with the enactment of the Military Act to require FINRA, as a registered securities
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, December 25, 1995, in observance of Christmas Day, and Monday, January 1, 1996, in observance of New Year's Day. "Regular way" transactions made on the business days noted below will be
Summary
FINRA warns member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA officers, including Bill Wollman and Josh Drobnyk (see Attachment A). These emails have a source domain name “@broker-finra.org” and request immediate attention to an attachment relating to your firm. In at least in some cases, the emails do not actually include
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 14, 1995. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Apr. 6
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 20, 1995, in observance of Presidents' Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Feb.
As we approach the end of the first quarter of 2024, FINRA’s Cyber and Analytics Unit (CAU) proactively warns member firms of continuing social engineering campaigns involving fraudulent representations of individuals purporting to be FINRA representatives. As with many types of social engineering campaigns, threat actors may use website domain names (sites) that are similar to FINRA.org (e.g., Finra-latam.org, finra.world, finra.eu), fraudulently use FINRA’s logo or purport to be legitimate FINRA employees. These domains and individuals are not associated with FINRA.
INFORMATIONAL
Variable Contracts
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Insurance
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Variable Contracts
Suitability
Supervision
Variable Contracts
Executive Summary
Due to the growth in sales and the popularity of variable life insurance products, NASD
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Presidents' Day: Trade Date-Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 21, 1994, in observance of Presidents' Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade
