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Cybersecurity: Taming the Lion

November 6, 2017 karen

3a. PPT – Cybersecurity Taming the Lion

by Karen A Steighner and Philip Feigin

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Previous PostPreparing for the New Form ADV AmendmentsNext PostTime to Schedule your Rule 3120 Annual Review & 3130 Certification

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RSS FINRA Notices

  • Information Notice 11/14/25
    SummaryThe SEC recently amended its rules governing electronic submission of filings and other materials to the SEC. The amendments require, among other things, that members submit their annual reports pursuant to SEA Rule 17a-5 to the SEC electronically in lieu of paper form, and they also make changes to the Financial and Operational Combined Uniform […]
  • Regulatory Notice 25-15
    SummaryFINRA has adopted amendments to Rules 6380A and 6380B to extend the operating hours of the FINRA Trade Reporting Facilities from opening at 8:00 a.m. Eastern Time to opening at 4:00 a.m. Eastern Time each business day. These amendments will take effect on March 30, 2026.The text of the amended rules is available in the […]
  • Information Notice 11/10/25
    SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2026 or the first quarter of 2027. FINRA reminds members that all such filings they submit […]
  • Information Notice - 11/7/25
    SummaryFINRA is making available on the FINRA website the Filing Schedule in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time throughout 2026, including holidays. This information will assist firms with making accurate submissions in connection with filing requests of extensions of time throughout the […]

RSS SEC Press Releases

  • Deputy Director of Enforcement Antonia M. Apps to Conclude Her Tenure at the SEC
    The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in…
  • SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS
    The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:…
  • SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers
    The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director…

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