April 3, 2025Learn about the latest financial crime threats impacting our industry from senior executives in the FBI, Secret Service and Homeland Security.FINRA MEMBER REGISTRATION CRCP Graduates
Crypto assets are assets issued or transferred using distributed ledger technology (DLT) or blockchain technology. These and investment products that derive value from crypto assets may present the potential for price appreciation. However, crypto assets and crypto asset service providers carry traditional investing risks and additional unique risks. You should understand these risks as you consider what, if any, investments in crypto assets might be appropriate for your investment plans.
The world of money laundering is a fast-paced and ever evolving, which can make it difficult for a financial firm to develop and maintain a strong anti-money laundering program. On this episode, two FINRA anti-money laundering experts discuss current priorities and best practices when it comes to AML regulation.
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Thank you for that introduction, and thank you all for coming. As all of you know, we are at an important moment in the debate over financial regulation and the future profile of financial markets in the United States, and throughout the world. So I am pleased to have this opportunity to share some of my thoughts about where we've been and where we can hopefully go.
Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, members of the Market Regulation and Transparency Services team discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public.
FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
Patrick Geraghty, Vice President,
