FINRA’s Top Priorities for 2021
Early in the year, FINRA released their 2021 Report on [...]
24
02, 2021
1
02, 2021
SEC Rule to Allow for the Use Electronic Signatures
The SEC recently adopted a rule change to allow for [...]
24
11, 2020
Lessons from FINRA’s Cybersecurity Conference
As the end of the year approaches, it is a [...]
5
10, 2020
Regulation S-P: Possible Compliance Weaknesses
SEC Risk Alerts are helpful tools that notify broker-dealers and [...]
15
09, 2020
Cybersecurity in the Time of COVID-19
For many firms, a remote workforce is now a new [...]
20
09, 2019
Safeguarding Client Information
With the transition into the electronic storage of client data, [...]
14
05, 2019
Imposter Websites Reported by Member Firms
FINRA has recently received notice from several FINRA member firms [...]
25
02, 2019
Fraudulent Phishing Emails – A Warning from FINRA
FINRA warns member firms to be on the lookout for [...]
17
10, 2018
NASAA Proposes Information Security Rule for RIAs
The North American Securities Administrators Association, Inc. (“NASAA”) is requesting [...]
12
07, 2018
Cybersecurity Programs Remain a Priority in 2018
Cybersecurity programs remain a significant priority for financial services industry [...]