FINRA’s Top Priorities for 2021
Early in the year, FINRA released their 2021 Report on [...]
24
02, 2021
24
11, 2020
Lessons from FINRA’s Cybersecurity Conference
As the end of the year approaches, it is a [...]
15
09, 2020
Cybersecurity in the Time of COVID-19
For many firms, a remote workforce is now a new [...]
27
04, 2020
Highlights from FINRA Small Firm Conference Call: Part 1
Earlier this month, FINRA hosted a Small Firm Conference Call [...]
3
04, 2020
Teleworking Considerations During COVID-19 Pandemic
Many financial service institutions have been hesitant to create teleworking [...]
16
03, 2020
SEC Enforcement Actions: Key Takeaways for 2020
Enforcement actions can be scary, especially if you or your [...]
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 [...]