Blog
Cybersecurity Breaches: Post SEC & Equifax Hacks, Firms Should Revisit Their Cybersecurity Program
Recently, two major cybersecurity breaches have been in the news which have been very unsettling for many Americans. First, Equifax, one of the nation’s largest credit bureaus, was hacked exposing 143 million people’s financial data. Second, the Securities and Exchange Commission’s (“SEC”) EDGAR filing system was hacked and it is [...]
M&A Due Diligence Checklist
Critical in every M&A transaction is a comprehensive due diligence investigation. An acquirer/buyer should always have a complete understanding of the all the intricacies of the target company, from operations to financial to legal. Failure to conduct due diligence may lead to major unforeseen issues such as unknown liabilities or [...]
FINRA COMPLIANCE CALENDAR-OCTOBER 2017
As we are approaching October 2017, it is a good idea to review FINRA’s compliance calendar to ensure you are aware of all regulatory filings, request for comments, certification due dates, and conferences and events that are coming up. […]
How to Become an RIA
A registered investment advisor (“RIA”) is a person or firm that, for compensation, provides advice, makes recommendations, issues reports or furnishes analyses on securities, either directly or through publications. Typically, an RIA manages the assets of high net worth individuals and institutional investors. RIAs have the highest standard of care [...]
NYSE 2018 Holiday Schedule
All NYSE markets observe U.S. holidays as listed below for 2018. Please note that although NYSE Arca Equities follows the same holiday schedule as the NYSE, on days when the NYSE closes early, NYSE Arca Equities hours may vary due to its extended trading day. Review the NYSE Arca Equities [...]
What is on the Series 7 exam?
The financial services industry is heavily regulated. In order to enter into the industry and sell securities, you must first prove that you have the competence. In order to showcase your competency, the Financial Industry Regulatory Authority (“FINRA”) requires that you take the Series 7 exam, also known as the [...]