Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
FINRA is highlighting recently reported vulnerabilities that impact Citrix NetScaler services including NetScaler ADC and NetScaler Gateway. Threat actors can exploit these vulnerabilities to exfiltrate sensitive information and to infect data and systems with ransomware. These Citrix services are typically used in support of internet-based application systems, to balance and manage incoming requests, and to enhance security and resiliency.
Proposed Rule Change to Amend FINRA's Customer and Industry Codes Of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production Of Documents Without Subpoenas
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 9216 to expand FINRA's Minor Rule Violation Plan ("MRVP") to include violations of options position and exercise limits and contrary exercise advice procedures.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt the following NASD Rules (which are part of the existing FINRA rulebook) as FINRA Rules in the new consolidated FINRA rulebook: the 4000 through 10000 Series and the 12000 through 14000 Series.
Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Unless otherwise provided, terms used in the Rule 1000 Series shall have the meaning as defined in Rule 0160.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member that files an application for approval of a change in ownership, control, or business operations under Rule 1017.
(b) "Associated Person"
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
