Monthly Archives: January 2020

Heightened Terror Threat Risk

Information Notice – 1/23/20

Summary:

The United States Department of Homeland Security (DHS) has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States.1 This Notice outlines steps firms may consider taking to be prepared and respond to any cyber attacks and other business disruptions that may occur.

View Full Notice Here:

Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches

Regulatory Notice 20-01

Summary:

FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process. The payment deadline is January 17, 2020.

Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.

View Full Notice Here: