FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

Stockbroker Law - Friday, August 31, 2012
FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

 


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Vermont Investors Entitled to Protections Under the Vermont Consumer Protection Law

Stockbroker Law - Friday, August 31, 2012
Vermont Investors Entitled to Protections Under the Vermont Consumer Protection Law

 


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Small Investors Get Stung by Short Selling

Stockbroker Law - Thursday, July 12, 2012
Small Investors Get Stung by Short Selling

 


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Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

Stockbroker Law - Tuesday, June 12, 2012
Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

In Regulatory Notice 12-08, effective January 26, 2012, the Financial Industry Regulatory Authority (IFNRA), citing the regulations of the Financial Crimes Enforcement Network (FINCEN) regarding Suspicious Activity Reports (SAR’s), now requires brokerage firms to make such SAR reports and supporting documents and information available to regulatory authorities. 


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FINRA Issues Customer Account Protection Regulatory Notice to Protect Customer Monies from E-Mail Instruction-Related Theft

Stockbroker Law - Tuesday, June 12, 2012
FINRA Issues Customer Account Protection Regulatory Notice to Protect Customer Monies from E-Mail Instruction-Related Theft

In Regulatory Notice 12-05, the Financial Industry Regulatory Authority (FINRA) noted an increasing number of reports of customer funds stolen due to e-mail instructions received from compromised customer e-mail accounts.  The Notice highlights risks associated with non-genuine instructions to transmit or withdraw funds via e-mail.   


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