Notices

Election Notice – 9/3/24 (Tue, 03 Sep 2024)
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
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Election Notice – 9/3/24 (Tue, 03 Sep 2024)
Summary The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule changes.
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Election Notice - 8/19/2024 (Mon, 19 Aug 2024)
Summary The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice. A formal notice of the NAC election and ballot listing all certified candidates will be mailed to the executive representatives of all eligible small firm FINRA members on or about Oct. 18, 2024. 
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Election Notice - 8/12/2024 (Mon, 12 Aug 2024)
Summary FINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1
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The Victim Experience: When Romance Leads to a Crypto Scam (Tue, 01 Oct 2024)
The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023, according to the FBI, a 45 percent jump from the prior year. And often crypto fraud is tied in with romance scams, with criminals targeting victims through texts, dating sites, social media, networking channels or other apps. While we all like to think we would be immune to such scams, research has shown time and again that everyone is vulnerable, even the most highly educated among us.  On this episode, we hear the firsthand accounts of Jules and Brian, two victims of romance crypto scams, who recently spoke at a FINRA Foundation conference on disrupting the cycle of financial fraud. They sat down with Kim Casci-Palangio, program manager of the Cybercrime Support Network (CSN), to share their experiences, the financial, mental and emotional toll they took, and their efforts to recover from their loss. This audio was edited to remove personally identifying information about our victims. Resources mentioned in this episode: Cybercrime Support Network Romance Scam Recovery Group FINRA Foundation FBI Internet Crime Complaint Center (IC3) Non-Traditional Costs of Financial Fraud Investor Alert: Relationship Investment Scams ‘Pig Butchering’ Scams: What They Are and How to Avoid Them Crypto Investment Scams Infographic Find us:  X / Facebook / LinkedIn / E-mail
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Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation (Tue, 17 Sep 2024)
Last week, FINRA CEO Robert Cook spoke to an audience of regulators, academics, law enforcement agencies, advocacy groups and financial firms at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud.  He highlighted specific areas for further coordination and announced that FINRA will reach out operators of existing regulatory databases to explore ways to create a one-stop shop resource for investor research. On this episode, we  tune in to his remarks.  Resources mentioned in this episode: Full Text of Speech As Prepared for Delivery   Find us:  X / Facebook / LinkedIn / E-mail
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