Financial Industry Regulatory Authority
Joined April 2009
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You asked. We answered. What is FINRA?
Learn more ▶️ bit.ly/47ttFHI
#FINRA101
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Thank you @ChairmanSelig for sharing your perspective on key regulatory priorities and the financial services landscape at the 2026 FINRA Annual Conference. #FINRAAC
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Self-regulatory organizations like @FINRA are the first line of defense against fraud and manipulation in our markets.
If it weren't for the work of SROs, our markets wouldn't enjoy the confidence that underpins their depth and liquidity.
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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 providers who provide services to the firm.
Learn more: bit.ly/421dYIo
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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 inquiries, investment concerns, and other related matters.
Over the past ten years, this resource has demonstrated remarkable effectiveness in protecting and supporting our most vulnerable investors. We encourage you to review the Helpline's significant impact below and learn more here: bit.ly/4lazzFt
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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 organization’s network and stole thousands of sensitive data files. The letters are an attempt to scam organizations into paying a ransom.
To learn more about this scam and the steps you can take to protect yourself, click here: bit.ly/41zWukG
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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.
Learn more here: bit.ly/43rxcYu
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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 customer protection.
Read more: bit.ly/3Qp0WOh
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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 https://t
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FINRA sanctioned several respondents for violations involving accounts of seniors.
Learn more:▶️ bit.ly/3ZE60T0
ALT Banner reading 'Disciplinary and Other FINRA Actions Reported for December 2024' with FINRA logo.
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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
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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
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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
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FINRA sanctioned several respondents for violations involving accounts of seniors. Learn more ▶️ bit.ly/4fRxQlh
ALT Image featuring the logo of FINRA with text reading 'Disciplinary and Other FINRA Actions Reported for November 2024'.
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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
ALT Image with a FINRA Investor Education Foundation logo, featuring a close-up of an hourglass on a desk with a blurred laptop in the background. The text reads "Buying and Selling Trading Terms: Time Parameters and Qualifiers on Stock Orders".
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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
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🚨 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 code or commands due to a critical product vulnerability (CVE-2024-47575).
Learn more ▶️ bit.ly/48ubd3D
ALT Cybersecurity alert from FINRA regarding vulnerabilities in FortiManager impacting all firms using Fortinet's FortiManager.
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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
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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
ALT Logo of FINRA at the top left with text reading "Professional Designations 3 Things to Know About Financial Designations." The image features a small black tray holding scrabble tiles.
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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
ALT Promotional banner for FINRA Investor Education Foundation featuring scattered newspaper clippings with financial terms and headlines about money, work, and retirement savings. The banner headline states "5 Things to Do to Boost Retirement Savings."
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💡 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 models and processes.
Read our latest report to learn more ▶️ bit.ly/40iKDsu
ALT Image with the title 'The Metaverse and the Implications for the Securities Industry' displayed, set against a futuristic background with figures in silhouette. The FINRA logo is visible in the corner.
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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
ALT An image depicting a financial theme with overlays of a graph, dollar bills, and the FINRA logo, accompanied by the text "Bonds - Spread the Word: What You Need to Know About Bond Spreads."
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