FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the intersection of cybersecurity, fraud and financial crimes. Staff will also highlight resources, tools and tips for mitigating risk in this area.Speakers:Robert Cook, FINRA President and Chief Executive OfficerSarah Kwak, Associate General
Due to increased reports related to cyber incidents occurring at FINRA member firms which have been attributed to specific threat actors, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision Program is highlighting a recent joint Cybersecurity and Infrastructure Security Agency (CISA) and Federal Bureau of Investigation (FBI) Cybersecurity Advisory published on November 16, 2023, which may be updated as new intelligence is uncovered.
INFORMATIONAL
Arbitration Awards
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Arbitration Awards
Motions to Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
In August 2000, the National Association of Securities Dealers, Inc. (NASD®) published Notice to Members 00-55 which announced that NASD Dispute
June 15, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss cybersecurity issues affecting the industry and effective practices.Speakers:Robert Cook, FINRA President and Chief Executive OfficerKeith Bettencourt, Specialist Manager, Member SupervisionWyatt Hamilton, Associate Principal Risk
INFORMATIONAL
Mutual Fund Performance
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Internal Audit
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Variable Contracts
Advertising
Mutual Fund Performance
Executive Summary
Recent unusually strong equity market performance helped some mutual funds, particularly those
Current FINRA members seeking to change ownership, control, or business operations must submit a continuing member application, or Form CMA. Form BD amendments may be required for some of these Form CMA-triggering events.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing a CMAWhen to File a CMAWhen current FINRA
FINRA is advising member firms that the Options Clearing Corporation has issued the March 2023 Options Disclosure Document (ODD). The ODD contains general disclosures on the characteristics and risks of trading standardized options. The March 2023 ODD contains new language to (i) accommodate cash-settled flexibly structured options on certain fund shares that meet specified criteria as defined in
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
The failure of a firm might understandably cause some anxiety for its customers. However, should your firm cease operations, you shouldn’t panic: In virtually all cases, customer assets are safe and typically are transferred in an orderly fashion to another registered brokerage firm.
