📣 There are three seats on the FINRA Board for election at our 2024 annual meeting: one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor. If you are interested in petitioning to become a candidate, contact the Corporate Secretary’s office. Learn more ▶️ https://bit.ly/3VLC9qY
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Up your investing IQ with FINRA on Instagram! Follow us @_finra or click here 👉 https://lnkd.in/ezrk6EGB
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During FINRA's African American Network (FAAN) Week of Service event held in June, FAAN hosted a virtual conversation on the importance of upholding the principles of Diversity, Equity, and Inclusion. Hear from FINRA's Senior Director of CRED, LaTricia Henderson, as she highlights what diversity means at FINRA.
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Are you a FINRA public arbitrator? Are you ready to take your skills to the next level and serve on the Chairperson Roster? Learn more ▶️ https://bit.ly/3DKnq5C
FINRA Online Learning Courses - Advanced Arbitrator Training | FINRA.org
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The U.S. Securities and Exchange Commission, Municipal Securities Rulemaking Board, and FINRA announced today that registration is now open for both in-person and virtual attendance of their Compliance Outreach Program for municipal market professionals. The event is open to the public and will take place on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado. Learn more▶️ https://bit.ly/3VFaTJi
SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program | FINRA.org
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We are celebrating #PrideMonth and paying tribute to Stonewall Day, courtesy of some insightful words from our Pride Alliance Co-chair at FINRA! 🌈 📃 Read the blog: https://bit.ly/3xBvOFe 💻 Learn more about FINRA Technology: https://bit.ly/45FdZBX
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Cybersecurity Alert ⚠️ On June 25, Progress Software released an alert identifying a new vulnerability (CVE-2024-5806) within the MOVEit Transfer, SFTP module which could lead to authentication bypass. Progress Software suggests upgrading to the latest software version. Learn more ▶️ https://bit.ly/45If8Zi
Cybersecurity Alert - FINRA Notifies Member Firms of MOVEit Software Vulnerability (CVE-2024-5806)
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Tune into the latest episode of #FINRAUnscripted where Ira Gluck and Melissa Turitz dig into the results of the finfluencer target review, the risks and regulatory requirements around this newer form of advertising and share some best practices for firms looking to make use of social media influencer programs. 🎧 https://bit.ly/3RH7pFa
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We're thrilled to be recognized among Fair360's Top 50 Companies! We've been honored for Top Regional Companies, Top Companies for Employee Resource Groups and Top Companies for Board of Directors. Want to know more? ▶️ https://bit.ly/3zqIJdB
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Cybersecurity Alert ⚠️ ONNX Store, a Phishing-as-a-service platform (PhaaS), is targeting Microsoft 365 (M365) accounts at FINRA member firms with an advanced social engineering attack known as quishing. Learn more ▶️ https://bit.ly/3KT1KYH
FINRA Cyber Alert – ONNX Store Purportedly Targeting Firms in Quishing Attacks
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A Senior UX Designer and a member of FINRA's African American Network (FAAN) share insights into the significance of Juneteenth, what it means to them, ways FINRA shows support and how they hope the federal holiday will evolve. Read the blog ▶️ https://bit.ly/3XuSnGc Learn more about FINRA Technology ▶️ https://bit.ly/4be5YoL
Staff Share Sentiments on Juneteenth and FINRA's Support
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Business Intelligence Analyst at Colonial Life
2wI am more interested in your Uniform Practice Code Committee and who its members were in December of 2022. Why were members whose firms had liabilities in #MMTLP allowed to make the decision to pull the lever for the U3 halt? Were you lying to Congress when you replied that "FINRA also did not provide advance notice of the trading halt to broker-dealers, hedge funds, or any other market participant"? Lying to Congress is a violation of 18 U.S.C. § 1001. Your own staff liason to that committee Chris Stone laid out what should have happened in a roundtable years back, but rather than declaring the corporate action deficient(using language that you had created) you created the problem to justify your halt. https://x.com/bleedblue18/status/1755308686518460845 Why was Nicole Brinkerhoff of Tradestation securities then given a position on that committee for the last two years when as head of compliance, she failed to ensure that Tradestation didn't have more shares sold than they should have. They have told their clients that they cannot move their #MMTLP shares to the transfer agent because they don't have enough left. Surely this is a problem that your U3 halt did not solve...64,000+ families are still waiting for answers...