The Cybersecurity and Cyber-Enabled Fraud topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Continuing Education Planning
Continuing Education Planning
The Cybersecurity and Technology Governance section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) observations and effective practices, and (3) additional resources.
Continuing Education Planning
Continuing Education Planning
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
New Rate for Fees Paid Under Section 31 of the Exchange Act
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Certification of Annual Audits
