Tag: Notice to Members

broker defamation
Brokers

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

seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>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 […]

Compliance

NASD Seeks Member Input on Rule Changes

  NTM 02-10 Seeks Comment on Streamlining and Eliminating Certain Rules Simplifying, or even removing, regulations in this industry is a goal that every registrant will be happy to hear about. Earlier last year the NASD has announced that it is conducting a comprehensive review of its rules to ensure […]

Compliance

Registration of Cold Callers

Ed. This page discusses the original NASD proposal in 1997 for registration of cold callers. and is presented for historical purposes. FINRA’s telemarketing rule is Rule 3230. Today, basically all cold callers are required to be registerd with FINRA. FINRA’s Registration and Qualification Rules are in the Rule 1200 series. […]