SEC Issues Ransomware Risk Alert Highlighting Cybersecurity Best Practices
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently [...]
5
06, 2017
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 [...]
12
05, 2017
Solicitor Municipal Advisors Rules
As summarized below, the MSRB recently provided guidance regarding the [...]
24
04, 2017
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
As summarized below, FINRA is currently seeking comment on proposed [...]
8
03, 2017
MSRB Requests Comment on Draft Amendments to MSRB Rule G-34
As summarized below, the Municipal Securities Rulemaking Board (MSRB) recently [...]
9
12, 2016
The Application of MSRB Rules to Transactions in MSRB Accounts
Registered representatives have increasingly inquired about the application of certain [...]
18
11, 2016
Quotation System for OTC Equity Securities
FINRA is soliciting comment on a proposal to provide for [...]
17
11, 2016
Communications with the Public – Part II
[Continued from Communications with the Public – Part I] Investment [...]
17
11, 2016
Communications with the Public – Part I
In April 2014, FINRA began a review of its communications [...]