This message is to advise you of a new phishing campaign targeting broker-dealers and investment advisers impersonating FINRA executives and using the domain “@broker-finra.org.” This is not a FINRA domain. DO NOT OPEN ANY EMAILS ORIGINATING FROM THIS DOMAIN. The emails request immediate attention to an attachment purportedly relating to the firm (but, at least in some cases, do not actually include the attachment). Additional information is available in FINRA’s Regulatory Notice 20-12: FINRA Warns of Fraudulent Phishing Emails Purporting to be from FINRA, which is available at the following link: https://www.finra.org/rules-guidance/notices/20-12
SOLARWINDS MALWARE NOTICE: Our office encourages financial service registrants, particularly state-registered investment advisers and intrastate broker-dealers, to report any known issues or concerns related to the recent SolarWinds cybersecurity incident to their primary securities regulator.
The Securities Division is responsible for regulating both the sale of securities and the securities professionals who sell them. In addition, the Division works with federal and State prosecuting authorities to investigate and bring charges against violators of the State's securities laws. The Division carries out these functions under the authority granted to it by the Mississippi Securities Act.
*COVID-19: We are sensitive to the challenges that the crisis has created for our registered community and our constituents. Please know that our staff will be responsive and receptive to requests for extensions and other appropriate forms of regulatory relief arising from service and staff disruptions occasioned by COVID-19.