FINRA

We have launched FINRA Forward, a series of initiatives to further improve our effectiveness and efficiency in pursuing our mission. FINRA Forward addresses how we can best fulfill our mission of protecting investors, safeguarding market integrity, and promoting market confidence. The future begins now, with targeted initiatives to modernize regulations, enhance industry compliance, and strengthen protections against cyber threats. Learn more below and read about FINRA Forward in CEO Robert Cook’s own words: https://bit.ly/42Gnlfo

📢 Now available for member firms: Foundational-level E-learning courses from FINRA's Crypto and Blockchain Education Program. Boost your knowledge of crypto asset and blockchain technology and start learning today: https://bit.ly/42gN0MA

In his latest blog, FINRA Chief Legal Officer, Robert Colby, shares how we are modernizing our rules to reflect today’s technologies, investment products and workplace realities. This update is part of our FINRA Forward initiative, launched in early 2025 to become more efficient and effective at pursuing our mission. We encourage member firms and other stakeholders to engage with us every step of the way. 📄 Read the full blog: https://bit.ly/46wpqOs

⚠️ FINRA member firms should be aware Cisco recently published numerous Security Advisories associated with different Common Vulnerability and Exposures (CVEs), several of them listed as critical. This Cybersecurity Alert includes a link to the Cisco Security Advisories website describing the numerous published vulnerabilities along with guidance to address each. Learn more: https://bit.ly/46smD8Y

Starting your investment journey? From setting up an investment account to making your first transaction, the choices can feel overwhelming. But it doesn’t have to be. Here are a few simple tips to help you get started! ▶️ Learn more: https://bit.ly/4nLPw5F

📣 Call for Candidates: FINRA will hold elections next month to fill seats on the Small Firm Advisory Committee (SFAC) and Regional Committees, which provide forums for member firms to share input on regulatory programs, industry trends, and proposed rule changes. One SFAC seat is open in the New York region. For Regional Committees, the South and West regions have six vacancies each, and the Midwest, North, and New York regions each have four vacancies. Are you interested in lending your experience and expertise and engaging with FINRA on issues that impact the securities industry? Submit your SFAC or Regional candidate profile form by Oct. 6 to FINRA’s Office of the Corporate Secretary. ▶️SFAC Election Notice: https://bit.ly/3Vm1G9e ▶️Regional Election Notice: https://bit.ly/3Ip8yQh

FINRA has announced the launch of a new Crypto and Blockchain Education Program to help member firms and their employees deepen their understanding of crypto assets and blockchain technology. The program will feature self-paced e-learning courses and an in-person applied learning course in partnership with Georgetown University’s McDonough School of Business. 🎧 Hear more about the program on the latest episode of #FINRAUnscripted: https://bit.ly/4pw2036 Discover key features of the program and how it's designed to empower member firms to combat crypto-related fraud: https://bit.ly/46FTMOf

🛍️ Buy Now, Pay Later is everywhere, but do you really know how it works? While some BNPL plans are helpful for managing bigger purchases, they can lead to overspending and credit debt if you are not keeping track of payments. Swipe through to learn what BNPL is and how to use it wisely. 📄 Read the full Study to learn more: https://bit.ly/46JZ9ML  

📣 Register now for the 2025 FINRA Cyber Crimes Conference! Join leading experts to combat evolving cyber crimes enabled by AI and advanced technologies. View the agenda and secure your spot today: https://bit.ly/46bBvqF

As we observe the September 11th National Day of Service and Remembrance, we begin our annual Volunteer Service Period. Each year, the #FINRAFam uses the Month of Service to honor through action by giving of our time and talent to the causes that matter to us and our community.