Finra.org

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NetName: PNAP-TOR-11-2008

Organization: Internap Holding LLC     See All 0+

Provider URL: Inap.com

Hostname: 75.98.60.222

IP Server: 75.98.60.222 Reg: 2009-02-24, Updated: 2018-11-29

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Country: United States

Address: 250 Williams Street, Atlanta, GA 30303, US

Latitude: 37.750999

Longitude: -97.821999

Abuse Email: [email protected]

Abuse Phone: +1-877-843-4662

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Contact FINRA FINRA.org

  • FINRA staff is working remotely in light of COVID-19
  • We strongly encourage investors who are filing complaints to do so electronically
  • Investor Contacts Investor Complaint Center FINRA investigates complaints against brokerage firms and their employees
  • FINRA is empowered to take disciplinary actions, including fines, suspensions and other sanctions.

Finra.org   DA: 13 PA: 14 MOZ Rank: 27

Regulatory News Feed And Email Subscription

  • FINRA FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates
  • FINRA provides an email subscription service for the newsletter as well as other communications

Finra.org   DA: 13 PA: 50 MOZ Rank: 64

FINRA Contact System FINRA.org

  • The FINRA Contact System (FCS) was redesigned and moved to Contacts in FINRA Gateway in mid-July 2021
  • The update includes improved workflows, easy access to key FINRA staff contacts and an intuitive look and feel consistent with FINRA Gateway

Finra.org   DA: 13 PA: 38 MOZ Rank: 53

Investor Contacts FINRA.org

  • Investors can submit questions to FINRA Investor Education
  • Firms and registered representatives should contact their FINRA Risk Monitoring Analyst or the …

Finra.org   DA: 13 PA: 28 MOZ Rank: 44

Beware Phishing Email Using “gateway-finra.org” Domain

  • FINRA has issued a warning to member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@gateway-finra.org.”
  • The email asks the recipient to click a link to “view request” and provide information to “complete” that request, noting that “late submission may

Seclaw.com   DA: 14 PA: 50 MOZ Rank: 68

FINRA Warns Of Email Phishing Scam ThinkAdvisor

  • Regulation and Compliance > Federal Regulation > FINRA
  • FINRA Warns of Email Phishing Scam

Thinkadvisor.com   DA: 20 PA: 47 MOZ Rank: 72

FINRA Executives FINRA.org

  • Hopper joined FINRA in 2004 and was a Director in FINRA’s Washington D.C
  • Prior to joining FINRA, from 2000 to 2004, she was part of Legg Mason Wood Walker, Inc.'s Legal & Compliance team, where her responsibilities focused on retail sales compliance
  • She began her career as a litigation attorney in private practice.

Finra.org   DA: 13 PA: 28 MOZ Rank: 47

FINRA Releases Warning About Phishing Email Scam

  • FINRA has released a warning to all firms covered under its regulatory jurisdiction about email domains being used to try and phish user data
  • The fraudulent email addresses have domain names that have been designed to look as though they originate from FINRA
  • The regulator reports that the emails arrive into inboxes with a link in place to

Leaprate.com   DA: 16 PA: 50 MOZ Rank: 73

FINRA Fines Raymond James $2 Million For “Flawed” Email

  • The Financial Industry Regulatory Authority has fined broker-dealer Raymond James Financial Services Inc
  • $2 million for flaws to its email surveillance system that spanned more than nine years
  • In addition, the firm has agreed to conduct a risk-based retrospective review to detect potential violations evidenced in past emails
  • According to FINRA, Raymond James relied primarily […]

Thediwire.com   DA: 13 PA: 50 MOZ Rank: 71

FINRA Alerts Firms To New Phishing Campaign Using

The Financial Industry Regulatory Authority has issued Regulatory Notice 21-20 warning firms of an ongoing phishing campaign that involves fraudulent emails that appear to be from FINRA but use the domain name “@gateway-finra.org.” The phony emails ask recipients to click on a link and provide information, noting that a “late submission may attract penalties.” FINRA […]

Thediwire.com   DA: 13 PA: 50 MOZ Rank: 72

Contact Us Finra Foundation

  • Angelita Plemmer Williams FINRA Investor Education Foundation 1735 K Street, NW Washington, D.C
  • 20006-1506 (202) 728-8988 Email

Finrafoundation.org   DA: 23 PA: 11 MOZ Rank: 44

Guidelines For FINRA SEC 17a-4 Compliance For Broker-Dealers

According to the Security and Exchange Commission (SEC) Rule 17a-4, broker-dealers in the financial services industry are required to retain and index electronic correspondences, including email, with immediate accessibility for a period of two years and with non-immediate access for at least six years.As a result, broker-dealers need to be able to securely store hundreds of thousands of

Intradyn.com   DA: 16 PA: 49 MOZ Rank: 76

Financial Industry Regulatory Authority (FINRA) Rule 4511

  • Financial Industry Regulatory Authority (FINRA) Rule 4511(c) United States
  • 08/30/2021; 3 minutes to read; r; In this article About FINRA Rule 4511
  • The Financial Industry Regulatory Authority (FINRA) is the largest independent body regulating securities firms with oversight of more than 4,500 brokerage firms in the United States
  • It was authorized by the US Congress 'to protect America's

Docs.microsoft.com   DA: 18 PA: 48 MOZ Rank: 78

FINRA Cites Unreasonable Email Review

  • On April 12, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued a settlement with a Salt Lake City-based broker-dealer, Wilson-Davis & Company (“Wilson-Davis”), due to poorly designed and implemented email review procedures
  • The misconduct was observed January-August 2013 when Wilson-Davis “failed to establish, maintain, and enforce a supervisory system, including

Fairviewinvest.com   DA: 22 PA: 39 MOZ Rank: 74

E-Mail Guidance From FINRA . What Took You So Long

  • FINRA provided some additional guidance concerning electronic communications, including customer correspondence and internal communications
  • FINRA will now permit member firms to use a “lexicon-based” screening tool or system for email reviews
  • Nonetheless, supervisors are still responsible for the system and how it operates.

Securitiescompliancesentinel.foxrothschild.com   DA: 46 PA: 50 MOZ Rank: 36

Election Notice – 10/19/21 FINRA.org

  • 1 Pursuant to FINRA Rule 4517 (Member Filing and Contact Information Requirements), firms must update their contact information promptly, but in any event not later than 30 days following any change in such information, as well as review and, if necessary, update the information within 17 business days after the end of each calendar year.
  • Additionally, firms must comply with any FINRA request

Finra.org   DA: 13 PA: 50 MOZ Rank: 78

FINRA: Broker-Dealer Email Systems Must Keep Pace With

  • A recent FINRA disciplinary action sends a strong message to broker-dealers that the development of their compliance systems—particularly with respect to email review and retention—must keep pace with the growth of their businesses.
  • FINRA fined LPL Financial LLC (LPL) $7.5 million for significant failures in its email system that prevented LPL from accessing hundreds of millions of …

Corpgov.law.harvard.edu   DA: 23 PA: 50 MOZ Rank: 89

FINRA Email Retention Mimecast

  • FINRA email retention regulations are designed to protect the security, integrity and accessibility of financial information contained in email sent and received by financial services organizations
  • FINRA email retention rules stipulate that: Electronic correspondence must be …

Mimecast.com   DA: 16 PA: 31 MOZ Rank: 64

FINRA Exams Prometric

  • Important: If you are scheduling with preapproved FINRA accommodations, please contact Prometric’s Testing Accommodations Team toll-free at (800) 967-1139 to schedule your appointments
  • Option 2: Schedule your exam for online delivery
  • The SIE, S6, S7, S63, S65, S66, S3, S30, S31, S32 and S34 exams are available to be scheduled for online

Prometric.com   DA: 17 PA: 26 MOZ Rank: 61

FINRA Warns Of Phishing Emails Targeting Financial Firms

"FINRA reminds firms to verify the legitimacy of any suspicious email prior to responding to it, opening any attachments or clicking on any embedded links," the authority wrote Monday, adding that firms should should familiarize themselves with some of the hallmarks of phishing, via a 2018 Cybersecurity report it issued or the cybersecurity

Digitalguardian.com   DA: 19 PA: 50 MOZ Rank: 88

FINRA Enforcement For Review And Retention Of Communications

FINRA disciplined a chief compliance officer (CCO) in April 2019 through an AWC for failing to ensure that his firm captured, retained, and reviewed business-related emails.The firm’s written supervisory procedures (WSPs) delegated the CCO as “responsible for [the firm’s] supervision (including compliance with the [email review and retention] rules identified above), the review of emails

Smarsh.com   DA: 14 PA: 50 MOZ Rank: 84

Fake FINRA Survey Is A Phishing Scam, Regulator Warns BDs

If you have questions about your account or would like to make subscription changes, please contact our Customer Service Center at [email protected] or call 1 …

Thinkadvisor.com   DA: 20 PA: 50 MOZ Rank: 91

Regulatory Updates: FINRA Fines A Brokerage Firm $2

  • Last month, FINRA fined a Broker-Dealer $2 million for failing to properly supervise email messages
  • FINRA found that during a nine-year review period, the firm’s email review system was significantly flawed, allowing millions of emails to evade meaningful review
  • This created the unacceptable risk that certain misconduct by firm personnel

Smarsh.com   DA: 14 PA: 50 MOZ Rank: 86

FINRA Retention Requirements For Mobile Communications

  • FINRA Retention Requirements for Mobile Communications – 2020
  • A new year has begun, and for most compliance professionals in the U.S
  • financial services industry,it means preparing for the regulatory challenges that will come to their organization this year
  • Recently, the Financial Industry Regulatory Authority (FINRA) released its 2020 Risk

Telemessage.com   DA: 19 PA: 50 MOZ Rank: 92

Contact Us CATNMSPLAN

  • The FINRA CAT Helpdesk is the primary source for answers to questions about CAT, including questions regarding: clock synchronization, firm reporting responsibilities, interpretive questions, technical specifications for reporting to CAT and more
  • The FINRA CAT Helpdesk can be reached by phone at 888-696-3348 or e-mail at [email protected]
  • Notice Address Language for CAT Reporter Agreement

Catnmsplan.com   DA: 18 PA: 8 MOZ Rank: 50

Frequently Asked Questions About The FINRA Communication …

FINRA Rule 2241(a)(11)(A) (list of research‐ related communications that do not fall within the definition of “research report” under FINRA Rule 2241); and Other research that does not meet the definition of “research report” under FINRA Rule 2241(a)(11),2 provided that the

Media2.mofo.com   DA: 15 PA: 42 MOZ Rank: 82

Contact Us IARD

  • Questions related to IARD accounting or system entitlement, navigation, and usage and filing
  • *State-specific questions should be directed to the appropriate state regulator.

Iard.com   DA: 12 PA: 17 MOZ Rank: 55

FINRA: E-Mail Oversight Needs Quantity And Quality FinOps

  • The case against Wilson-Davis isn’t the first time FINRA has cracked down against broker-dealers for poor e-mail oversight
  • The fine is also miniscule, likely reflecting the size of the firm and the short time-period in question
  • In 2013 FINRA fined LPL a whopping US$7.5 million for 35 significant failures in e-mail oversight over a five year

Finopsinfo.com   DA: 14 PA: 50 MOZ Rank: 91

FINRA Compliance Mimecast

  • To simplify FINRA compliance, Mimecast provides the industry's most comprehensive suite of capabilities for email retention, encryption, discovery and data recovery
  • The Mimecast Cloud Archive is a secure, centralized repository that aggregates data across multiple platforms to enable faster insight, reduced costs, streamlined management and

Mimecast.com   DA: 16 PA: 26 MOZ Rank: 70

Financial Industry Regulatory Authority (FINRA)

Financial Industry Regulatory Authority - FINRA: The Financial Industry Regulatory Authority (FINRA) resulted from the merger of the New York Stock Exchange ’s regulatory committee and the

Investopedia.com   DA: 20 PA: 18 MOZ Rank: 67

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