Aggregated News From Investment Management Regulators

FINRA US

Regulatory Notice 21-21 | FINRA Eliminates the Order Audit Trail System (OATS) Rules

Summary Effective September 1, 2021, FINRA is amending its rulebook to eliminate the Order Audit Trail System (OATS) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Syste

FINRA, SEC and NASAA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors

Regulators Providing Free Training in Recognition of World Elder Abuse Awareness Day; Program Aims to Assist Firms in Implementing Requirements of Senior Safe Act WASHINGTON—In recognition of World E

SR-FINRA-2021-008 | Proposed Rule Change Relating to Security-Based Swaps

Financial Industry Regulatory Authority, Inc.

Regulatory Notice 21-20 | FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name

Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using the domain name “@gateway-finra.org.

Nominees for Upcoming FINRA Board of Governors Election

Executive Summary The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small Firm Governor

Redesigned eFOCUS System and SEC Security-Based Swap Reporting Requirements; Revised Supplemental Inventory Schedule

Summary In 2019, the Securities and Exchange Commission (SEC) adopted amendments1 that revise certain of the Financial and Operational Com

FINRA Statement on Temporary Withdrawal of Specialized Arbitrator Roster Rule Filing

Following consultations with the SEC staff, we temporarily withdrew from SEC consideration our rule filing establishing specialized arbitration panels for expungement requests so that we can further

SR-FINRA-2021-008 | Proposed Rule Change Relating to Security-Based Swaps

Financial Industry Regulatory Authority, Inc.

Regulator Information

Abbreviation: FINRA
Jurisdiction: United States

Recent Articles

Directive for the beneficial ownership register of express trusts and similar legal arrangements

See the Press Release published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

RichmondSuper

Attention! The FMA warns investors against concluding transactions with: RichmondSuper https://www.richmondsuper.com (Link to external page. Opens in new window.) [email protected] [email protected] [email protected] [email protected] [email protected] (Link to external page. Opens in new window.) This provider...

Hardson Becker Global

Attention! The FMA warns investors against concluding transactions with: Hardson Becker Global with its registered address apparently in Hangzhou, China www.hardson.com This provider is not authorised to carry...

“Let’s talk about money” – money laundering: how illegal assets are given a legal appearance

In the latest edition of its consumer information series, “Let’s talk about money” the Austrian Financial Market Authority (FMA) explains about the term money...

Chair Powell will host town hall with educators August 2, 2021 at 4 p.m. EDT

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