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FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm with violating FINRA Rule 4330, which establishes permissible use of customers’ securities to ensure customer protection. Read more:

There is no higher priority for us than protecting senior investors from financial exploitation. We offer 3️⃣ helpful resources that seniors can use: 1️⃣ Securities Helpline for Seniors ☎️ 844-57-HELPS 2️⃣ 3️⃣ Learn more ▶️ https://t

FINRA sanctioned several respondents for violations involving accounts of seniors. Learn more:▶️

FINRA and other securities regulators inside and outside the U.S. are increasingly concerned about a new twist on the classic pump-and-dump scheme—the ramp-and-dump. Learn more about this stock manipulation scheme:

Among the wide range of hacking techniques known collectively as social engineering, pretexting is a tactic that hinges on telling a compelling (and, spoiler alert, fake!) story. Learn about the different ways you might be targeted and more ▶️

ETPs, including ETFs, commodity pools and ETNs, are a popular way to invest, with thousands of products available to target almost every imaginable investment objective. It's important to remember that not all ETPs are the same. Learn more:

FINRA sanctioned several respondents for violations involving accounts of seniors. Learn more ▶️

There are a lot of decisions to make when buying or selling stocks, so it's important to understand your choices. Learn more about common time parameters known as time-in-force options and other order qualifiers. ▶️

It's important to understand what exchange-traded notes (ETNs) are, how they work and how they are different from exchange-traded funds (ETFs) before you consider investing in them to avoid unpleasant surprises. Learn more:

🚨 Impact: All Firms Using Fortinet’s FortiManager. The Cybersecurity & Infrastructure Security Agency (CISA) released two alerts regarding vulnerabilities using Fortinet’s FortiManager product which could expose companies to a remote, unauthenticated attacker executing arbitrary code or commands due to a critical product vulnerability (CVE-2024-47575). Learn more ▶️

It pays to pay attention to your uninvested cash. It can be a valuable part of your investment portfolio. Learn the facts about your uninvested cash, the different cash management programs available and questions to ask. ▶️

So you’ve decided to work with an investment professional—next comes the process of identifying prospective candidates. You might notice that some candidates have a string of letters after their name. But what do those designations mean for you?

When you’re young, it’s easy to feel like there’s no rush to save for retirement. But before you know it, you might find yourself in your 50s or 60s and nowhere near your retirement savings goal. Read 5 things to do to boost retirement savings ▶️

💡 New research conducted by @FINRA's Office of Financial Innovation uncovers the growth of the #metaverse and it's potential to play a meaningful role within the securities industry. Explore what many view as the next evolution of today’s internet and how it may impact business models and processes. Read our latest report to learn more ▶️

Investors who agree to take on more risk generally expect greater rewards. In the world of bonds, analyzing the size of that reward can give you clues about the risk of a particular issuance and overall market sentiment. Learn more about bond spreads ▶️

What is short interest? What is it not? What do you need to know about short interest data? We have the answers to your short interest questions. ▶️

There is no higher priority for us than protecting senior investors from financial exploitation. We offer 3️⃣ helpful resources that seniors can use: 1️⃣ Securities Helpline for Seniors ☎️ 844-57-HELPS 2️⃣ 3️⃣ Learn more ▶️ https://t

🚨 The Cybersecurity & Infrastructure Security Agency (CISA) released Cybersecurity Advisory (AA24-290A), which provides threat actors’ tactics, techniques, and procedures (TTPs) and indicators of compromise (IOCs) associated with Iranian cyber actors. In light of the historical proclivity of Iranian threat actors targeting the financial services industry, FINRA is sharing this information with member firms. Learn more here:

When it comes to investing, what level of risk is too much? It all depends on your risk tolerance level. Discover 4 factors to consider when evaluating your risk tolerance level, and why knowing matters in our new Investor Insights article. Learn more ▶️

Check out our Member Firm Hub: get the latest Notices, guidance and essential resources—in a single place for member firms. Learn more ▶️