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Financial Industry Regulatory Authority's new Complex Investigations and Intelligence Team, proposed changes to the expungement process for broker-dealers, and FINRA’s attempts to curb digital signature forgery, along with enforcement actions and arbitration decisions
Self-regulatory organization aims to better identify and mitigate threats in the financial industry.
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program would like to highlight an alert issued by the Cybersecurity & Infrastructure Security Agency (CISA) on April 20, 2022.
In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed rules to include certain significant market participants as “dealers” or “government securities dealers” to...
In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed a new rule to increase market transparency regarding short selling and extended the comment period for its...