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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

  • Regulatory Notice 21-15
    Summary With the recent increase in the number of customers seeking to open brokerage accounts and trade options, FINRA reminds members of the requirements for determining whether to approve a customer to trade options. Regardless of whether the account is self-directed or options are being recommended, members must perform due diligence on the customer and […]
  • Special Notice – 3/26/21
    Summary FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that promotes vibrant capital markets.
  • Regulatory Notice 21-14
    Summary FINRA warns member firms that, over the past two months, we have observed a sharp increase in new customers opening online brokerage accounts and engaging in Automated Clearing House (ACH) “instant funds” abuse to effect securities trading. (FINRA has previously warned firms about trends in losses from schemes involving electronic funds transfers, such as […]
  • Regulatory Notice 21-13
    Summary This Notice announces, effective immediately, clarifications of interpretations of FINRA margin requirements regarding day trading (Rule 4210(f)(8)(B)(ii)). Questions concerning this Notice should be directed to:

RSS SEC Press Releases

  • SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud
    On Friday, April 16, 2021, the Securities and Exchange Commission charged Israeli-based Spot Tech House Ltd., formerly known as Spot Option Ltd., and two of its former top executives, Malhaz Pinhas Patarkazishvili (also known as Pini Peter) and…
  • Gary Gensler Sworn in as Member of the SEC
    Gary Gensler was sworn into office today as a Member of the Securities and Exchange Commission by U.S. Senator Ben Cardin. He was nominated to Chair the SEC by President Joseph R. Biden on February 3, 2021 and confirmed by the U.S. Senate on April 14,…
  • SEC Reopens Comment Period for Universal Proxy
    The Securities and Exchange Commission today voted to reopen the comment period on the proposed rules for the use of universal proxy cards in all non-exempt solicitations for contested director elections. “This is an important step toward finalizing…

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