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FINRA Publishes 2025 Annual Regulatory Oversight Report

The Financial Industry Regulatory Authority, Inc. (“FINRA”) published its 2025 FINRA Annual Regulatory Oversight Report (the “Report”), which builds on the structure and content of FINRA’s prior reports for 2021-2024. This...more

Goodwin

FDIC Seeks Comment on Supervisory Approach to Examinations During Pandemic

Goodwin on

In This Issue. The Federal Deposit Insurance Corporation (FDIC) is seeking information and comment regarding the FDIC’s supervisory approach to examinations during the pandemic; the FDIC’s tech lab, FIDTECH, announced a “tech...more

Burr & Forman

Cyber-Security Awareness Month & Phishing FINRA

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Phishing FINRA - October is cyber-security awareness month, so it’s only appropriate that FINRA started it with another Regulatory Notice warning member firms to beware of a false-survey phishing scheme.  The Notice warns...more

Burr & Forman

FINRA Warns of Fake FINNRA

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The Financial Industry Regulatory Authority (“FINRA”) has issued a special alert to its member firms, alerting them to an imposter website: www.finnra.org (containing an extra “n”)....more

Burr & Forman

Cyber Still Atop Exam Priorities

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FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more

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