Cybersecurity Breaches: Post SEC & Equifax Hacks, Firms Should Revisit Their Cybersecurity Program
Recently, two major cybersecurity breaches have been in the news [...]
28
09, 2017
27
07, 2017
Order Audit Trail System (OATS)
Established by FINRA, the Order Audit Trail System (OATS), is [...]
30
06, 2017
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
FINRA has updated the form that firms must use to [...]
28
06, 2017
Regulatory Notice 16-39: Trade Reporting and Compliance Engine (TRACE)
In 2001, the Securities and Exchange Commission approved the Trade [...]
19
06, 2017
FINRA RULE 3130 (ANNUAL CERTIFICATION OF COMPLIANCE AND SUPERVISORY PROCESSES)
FINRA Rule 3130 (formerly known as NASD Rule 3013) requires [...]
16
06, 2017
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions)
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), [...]
14
06, 2017
Rule 4530 Product and Problem Codes and Filing Application Form to reflect changes related to the DOL’s fiduciary rule
FINRA announced that it has revised the Rule 4530 (Reporting [...]
2
06, 2017
SEC Approves Rules Relating to Financial Exploitation of Senior Investors (Rule 2165 and Rule 4512)
FINRA has recently announced the SEC approval of new Rule [...]
31
05, 2017
FINRA Provides Reminders Concerning the Use of Social Networking Websites and Business Communications
In today’s ever-changing technological environment, overseeing new forms of communication [...]
3
05, 2017
Safe Harbor: Equity and Debt Research Rules for Desk Commentary
As summarized below, FINRA is currently seeking comment on proposed [...]