You asked. We answered. What is FINRA? Learn more ▶️ bit.ly/47ttFHI #FINRA101

How can firms harness the benefits of AI while maintaining strong supervisory and compliance practices? FINRA recently hosted a roundtable where member firms discussed how they are using generative AI across surveillance, communications review, onboarding, account maintenance, marketing review and other areas. Participants highlighted AI's potential to improve efficiency and surface risk with more nuance and contextual insight than traditional tools. Observers from the @SECGov, @NFA_News and industry associations also attended. A consistent theme emerged: While AI can strengthen supervision and compliance, human accountability remains essential. Firms emphasized the importance of clear governance, accountable model owners, ongoing monitoring and human review of flagged activity. As AI capabilities continue to evolve, participants expressed a desire for practical, timely guidance that supports innovation and AI-driven efficiencies, including emerging agentic and autonomous capabilities, while preserving investor protection and strong supervisory safeguards. Learn more about FINRA's AI work: bit.ly/4hkFabr #AI #Compliance #RegTech #FinancialServices #InvestorProtection

FINRA has ordered American Portfolios Financial Services, Inc. to pay $1,232,939 in restitution, plus interest, to customers and has fined the member firm $400,000 for failing to reasonably supervise recommendations that customers sell unit investment trusts (UITs) before their maturity dates, which resulted in customers paying unnecessary costs and fees. Learn more: bit.ly/4ApNWh1

Final weeks to register for Week II of the FINRA Certified Regulatory and Compliance Professional (CRCP)® Program from November 15-20, 2026. Whether you’re completing your CRCP® journey or starting advanced-level regulatory education, you’ll join an exclusive network of compliance professionals committed to excellence. Register for Week II today ▶️ bit.ly/4qUEe0d

While pump-and-dump scams have been around for decades, they continue to evolve and impact investors. The basic framework of this type of fraud often involves three stages: the setup, the pump, and the dump. ⚠️ Learn the warning signs to help distinguish between a pump-and-dump scam and a legitimate investment: bit.ly/4y1DjiY

The $25,000 day trading threshold was a fixture of U.S. markets for more than two decades. Earlier this year, FINRA eliminated it entirely. On the latest episode of #FINRAUnscripted, Racquel Russell and James Barry break down the story behind FINRA's new intraday margin standard under Rule 4210: why the old rules existed, what made them obsolete, and what the change means for investors and member firms. 🎧 Listen here: bit.ly/4h4EZ4Y

Following a successful 2026 program, registration is now open for FINRA's 2027 Crypto Applied Learning Program at @msbgu. Join us June 8-10 for an immersive learning experience featuring: • Hands-on training with crypto and blockchain technology • Expert faculty from across the crypto asset space • Practical insights into compliance and regulation • Networking opportunities with industry peers ⌛Space is limited. Register today: bit.ly/4nH5kaZ

Market liquidity affects how easily you can buy or sell an investment at a fair market price. However, many factors can impact market liquidity, including security type, market stress and trading hours. Before you invest, learn ways you can plan for market liquidity risk. ▶️ Learn more: bit.ly/4gI6VLN

A panel of FINRA experts closed out the 2026 Financial Crimes and Cybersecurity Conference with a timely discussion on combating emerging threats, the importance of intelligence sharing, and more. Thanks to all our speakers and attendees for an engaging and successful event!

Yesterday, FINRA’s Greg Ruppert opened the 2026 FINRA Financial Crimes and Cybersecurity Conference with a powerful look at how our Financial Intelligence Fusion Center supports the more than 1,000 member firms that utilize it, protect their customers and their businesses. Catch up on what you missed!

📣 More than 1,000 firms, representing nearly one-third of FINRA members, have joined the FIFC to strengthen the industry's collective defense against cyber and fraud threats and help better protect investors. ▶️ Learn more: fifc.finra.org/

As artificial intelligence (AI) grows in sophistication, so do cyber threats facing investors today. Deepfakes and vishing scams use AI technology to impersonate the voices and likenesses of real celebrities, investment professionals, loved ones and others in an effort to manipulate targets. Learning how these tactics work and red flags to look for can help you protect yourself from these scams. ▶️ Learn more: bit.ly/4epK4nf

This is @FINRA's Financial Intelligence Fusion Center in action. Learn more about how FINRA and its member firms are working together to strengthen cybersecurity and fight fraud across the industry via the FIFC. ▶️ Watch: FIFC featured on @Bloomberg bloom.bg/3RS75Xu 🎙️ FINRA Unscripted: Inside FINRA’s Financial Intelligence Fusion Center bit.ly/3SeNwsq

Addressing today's cyber and fraud threats requires more than any single firm, regulator, or agency can do alone. That's the idea behind FINRA's Financial Intelligence Fusion Center (FIFC), launched this year as part of #FINRAForward. The FIFC brings together member firms, regulators, law enforcement and other partners to share intelligence on emerging threats. In the latest #FINRAUnscripted episode, David Ring and Kerri Provenza discuss the FIFC's progress since launch and how intelligence sharing can help protect investors and safeguard market integrity. Participation in the FIFC is voluntary and available at no cost to FINRA member firms. Learn more at FIFC.finra.org. 🎧️ Tune in here: bit.ly/3SeNwsq

FINRA has fined UBS Financial Services $20 million for anti-money laundering violations. FINRA found that UBS Financial failed to establish and implement an AML compliance program reasonably expected to detect and report suspicious transactions involving foreign currency wires. Learn more: bit.ly/4yVZtUn

The @SECGov has approved FINRA's proposals to streamline aspects of the corporate financing process through amendments to Rules 5110 and 5123. Proposed as part of our FINRA Forward initiative, the changes will tailor the treatment of underwriting compensation and expand filing exemptions for private placements. FINRA will announce the effective date of the rule changes in a Regulatory Notice. bit.ly/4bnx3Id

Thank you @ChairmanSelig for sharing your perspective on key regulatory priorities and the financial services landscape at the 2026 FINRA Annual Conference. #FINRAAC