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    Redesigned eFOCUS System and SEC Security-Based Swap Reporting Requirements
    CCG
    • Jul 8, 2021

    Redesigned eFOCUS System and SEC Security-Based Swap Reporting Requirements

    To avoid duplication with the SEC’s 2019 FOCUS amendments, FINRA has revised the Supplemental Inventory Schedule (SIS) so that members...
    The Red Flags of Guardian Financial Abuse
    CCG
    • Jun 29, 2021

    The Red Flags of Guardian Financial Abuse

    A guardian manages the day-to-day financial affairs of an individual who is no longer able to do so for him or herself. Financial abuse...
    Improved Fund Analyzer Tool Available.
    CCG
    • Jun 21, 2021

    Improved Fund Analyzer Tool Available.

    FINRA has introduced a new and improved Fund Analyzer tool to help investors and financial professionals better understand the impact of...
    FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name
    CCG
    • Jun 15, 2021

    FINRA Alerts Firms to Phishing Email Using “gateway-finra.org” Domain Name

    FINRA warned member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the...
    NYS Enacts HERO Act … What Employers Need to Know
    CCG
    • Jun 10, 2021

    NYS Enacts HERO Act … What Employers Need to Know

    New York employers may need to change their approach to workplace health and safety rules significantly under the New York Health and...
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