Updates – Greater Portland Compliance Association

UPC #19-26 – Idex Wind Down, Inc. (F/K/A Ideanomics, Inc.)

Uniform Practice Advisory (UPC 19-26) Thu, 19 Feb 26 12:00:00 +0000
Idex Wind Down, Inc. (F/K/A Ideanomics, Inc.)

UPC #18-26 – Tattooed Chef Inc

Uniform Practice Advisory (UPC 18-26) Tue, 17 Feb 26 12:00:00 +0000
Tattooed Chef Inc

SR-FINRA-2026-004

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 2210 (Communications with the Public). The proposed rule change would allow a member to project the performance or provide a targeted return with respect to a security, a securities portfolio, or an asset allocation or other investment strategy in its communications, subject to specified conditions to ensure these projections are carefully derived from a sound basis.

Feb

Regulatory Notice 26-03

In general, a member must obtain a customer’s affirmative consent or instruction to transfer or assign the customer’s account to another member. However, for large bulk transfers of customer accounts, obtaining affirmative customer consent to such transfers or assignments may sometimes be unworkable.

Feb

UPC #17-26 – Oracle Corp (OCCLL)

Uniform Practice Advisory (UPC 17-26) Tue, 03 Feb 26 12:00:00 +0000
Oracle Corp (OCCLL)

Feb

UPC #16-26 – Oracle Corp (OCCLV) (When-Issued)

Uniform Practice Advisory (UPC 16-26) Tue, 03 Feb 26 12:00:00 +0000
Oracle Corp (OCCLV) (When-Issued)

Feb

Financial Security in 2026: Tips for Investors and How Firms Can Help

Financial security is about more than just building wealth: It’s about resilience, preparation, and having the tools to weather whatever comes your way. And right now, with rising costs, market volatility, and evolving fraud risks, investors need that security more than ever.

On this episode, FINRA Investor Education Foundation President and Senior Vice President of Investor Education Gerri Walsh discusses what financial security really means in 2026, and how firms can help protect and empower their customers. This conversation sits at the heart of FINRA Forward, our commitment to evolving alongside the rapidly changing securities industry in support of our mission of protecting investors and market integrity.

Resources mentioned in this episode:

FINRA Investor Education Foundation

Protecting Consumers from Fraud

FINRA Forward

Blog Post: FINRA Forward’s Rule Modernization—An Update

Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission

Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve

Ep. 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals