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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 1Q19 Rule 3120 Annual Review & 3130 Certification

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RSS FINRA Notices

  • Information Notice – 12/9/19
    Summary FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of […]
  • Information Notice – 11/26/19
    The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 29, 2019 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options.
  • Regulatory Notice 19-36
    Summary Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present […]
  • Information Notice – 11/11/19
    Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS) Summary To 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 […]

RSS SEC Press Releases

  • Former Congressman and Two Others Settle Insider Trading Charges
    The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen Zarsky, all of whom were charged with insider trading and pleaded guilty to related criminal charges. The…
  • Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs
    The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).   ADRs are U.S. securities that…
  • SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter
    A Colorado stock promoter and two of his companies agreed to pay $4.2 million to settle the U.S. Securities and Exchange Commission's charges for fraudulently promoting and trading a cannabis stock. On Dec. 5, 2019, the U.S. District…

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  • IA’s: 2019 Rule 206(4)-7 Annual Review Due NOW
  • Time to Schedule your 1Q19 Rule 3120 Annual Review & 3130 Certification
  • Cybersecurity: Taming the Lion

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