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🚨 Member firms should be aware of an alleged large-scale data breach possibly affecting Oracle Cloud services at firms and third-party providers. FINRA recommends that firms review this information to assess any potential impact to their operations, as well as with third-party
FINRA marks a decade of the FINRA Securities Helpline for Seniors, a vital resource safeguarding the interests of seniors and vulnerable investors. Established to provide direct access to FINRA's specially trained staff, the Helpline offers assistance with brokerage account
There is an ongoing scam involving letters delivered in the mail from unidentified criminal actors to corporate executives, claiming to have come from a ransomware group. Stamped “Time Sensitive Read Immediately,” the letter claims the “BianLian Group” gained access to the
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm with violating FINRA Rule 4330, which establishes permissible use of customers’ securities to ensure
There is no higher priority for us than protecting senior investors from financial exploitation. We offer 3️⃣ helpful resources that seniors can use: 1️⃣ Securities Helpline for Seniors ☎️ 844-57-HELPS 2️⃣ BrokerCheck.FINRA.org 3️⃣ Learn more ▶️ bit.ly/34zVpO9
FINRA sanctioned several respondents for violations involving accounts of seniors. Learn more:▶️ bit.ly/3ZE60T0
FINRA and other securities regulators inside and outside the U.S. are increasingly concerned about a new twist on the classic pump-and-dump scheme—the ramp-and-dump. Learn more about this stock manipulation scheme: bit.ly/3zjvurR
Among the wide range of hacking techniques known collectively as social engineering, pretexting is a tactic that hinges on telling a compelling (and, spoiler alert, fake!) story. Learn about the different ways you might be targeted and more ▶️ bit.ly/3tAgFSa
ETPs, including ETFs, commodity pools and ETNs, are a popular way to invest, with thousands of products available to target almost every imaginable investment objective. It's important to remember that not all ETPs are the same. Learn more: bit.ly/3JsOdE5
FINRA sanctioned several respondents for violations involving accounts of seniors. Learn more ▶️ bit.ly/4fRxQlh
There are a lot of decisions to make when buying or selling stocks, so it's important to understand your choices. Learn more about common time parameters known as time-in-force options and other order qualifiers. ▶️ bit.ly/3Xa9Q6N
It's important to understand what exchange-traded notes (ETNs) are, how they work and how they are different from exchange-traded funds (ETFs) before you consider investing in them to avoid unpleasant surprises. Learn more: bit.ly/30NSHSF
🚨 Impact: All Firms Using Fortinet’s FortiManager. The Cybersecurity & Infrastructure Security Agency (CISA) released two alerts regarding vulnerabilities using Fortinet’s FortiManager product which could expose companies to a remote, unauthenticated attacker executing arbitrary
It pays to pay attention to your uninvested cash. It can be a valuable part of your investment portfolio. Learn the facts about your uninvested cash, the different cash management programs available and questions to ask. ▶️ bit.ly/3QUu7tS
So you’ve decided to work with an investment professional—next comes the process of identifying prospective candidates. You might notice that some candidates have a string of letters after their name. But what do those designations mean for you? bit.ly/3mSbiL4
When you’re young, it’s easy to feel like there’s no rush to save for retirement. But before you know it, you might find yourself in your 50s or 60s and nowhere near your retirement savings goal. Read 5 things to do to boost retirement savings ▶️ bit.ly/4fvNLWj
💡 New research conducted by @FINRA's Office of Financial Innovation uncovers the growth of the #metaverse and it's potential to play a meaningful role within the securities industry. Explore what many view as the next evolution of today’s internet and how it may impact business
Investors who agree to take on more risk generally expect greater rewards. In the world of bonds, analyzing the size of that reward can give you clues about the risk of a particular issuance and overall market sentiment. Learn more about bond spreads ▶️ bit.ly/45c71Eg
What is short interest? What is it not? What do you need to know about short interest data? We have the answers to your short interest questions. ▶️ bit.ly/3dS9rgM
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