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    • 2020 Compliance for Financial Advisors

    FINRA Notices: 

    March 26, 2020 Information Notice – 3/26/20 Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic (COVID-19)
    May 04, 2020 Regulatory Notice 20-12 FINRA Warns of Fraudulent Phishing Emails Purporting to be from FINRA
    May 05, 2020 Regulatory Notice 20-13 FINRA Reminds Firms to Beware of Fraud During the Coronavirus (COVID-19) Pandemic
    August 12, 2020 Regulatory Notice 20-27 FINRA Alerts Firms to Use of Fake FINRA Domain Name
    August 20, 2020 Regulatory Notice 20-30 Fraudsters Using Registered Representatives Names to Establish Imposter Websites
    September 17, 2020 Regulatory Notice 20-32 FINRA Reminds Firms to Be Aware of Fraudulent Options Trading in Connection With Potential Account Takeovers and New Account Fraud
    October 06, 2020 Regulatory Notice 20-35 FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent FINRA Survey
    October 15, 2020 Information Notice - 10/15/20 Cybersecurity Background: Authentication Methods
    November 30, 2020 Regulatory Notice 20-40 FINRA Alerts Firms to Phishing Email Using Invest-FINRA.org Domain Name

    SEC Notices: 

    NFA Notices: