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

📣 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.

FINRA member firms should be aware of a supply chain attack leveraging data exfiltrated from Salesloft Drift—a third-party platform that connects the Drift AI chat agent with a Salesforce or Google Workspace instance, among others. The breach exposed data that could increase the risk of credential stuffing, spear phishing and social engineering attacks against member firms and their vendors. Learn more: https://bit.ly/3VGCj1V

Mark your calendars! 🗓️ Get ready to boost your skills with the Registration Systems Foundation and Disclosure Reporting Bootcamp with two back-to-back trainings in Rockville, MD and Chicago this fall. Registration Systems Foundation Training (9/16 and 10/21) ▶️ https://bit.ly/41fIhqU Disclosure Reporting Boot Camp (9/17-18 and 10/22-23) ▶️ https://bit.ly/45RQXGC

Opening or updating a brokerage account? You may be asked to name a “trusted contact person.” Providing the name of someone you trust can help your firm safeguard your account and respond to potential concerns. The U.S. Securities and Exchange Commission, NASAA and FINRA urge investors to consider adding a trusted contact that your brokerage firm can reach out to if they suspect financial exploitation or have trouble reaching you. Learn more: https://bit.ly/47gavIY

We’re proud to share that FINRA has won a Gold award for Onboarding at the 2025 Brandon Hall Group™ HCM Excellence Awards! 🏅 This award highlights the exceptional work of our Employee Experience Team within our Learning, Talent, and Organizational Development department. Congratulations to everyone involved in making our onboarding process award-worthy! Learn more about careers at FINRA: https://lnkd.in/ecjqVyJ8 #BHGAwards