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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 – 10/2/19
    Summary Several member firms recently notified FINRA that they have experienced email account takeovers (ATOs) while using cloud-based email platforms, including Microsoft Office 365 (O365). Attackers used compromised email accounts to defraud member firms by requesting fraudulent wire requests or stealing confidential firm information or non-public personally identifiable information (PII).  This Notice outlines the attackers’ […]
  • Regulatory Notice 19-33
    Summary FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) have updated certain data elements for Electronic Blue Sheets (EBS) to reflect the SEC’s December 21, 2018 approval of MIAX Emerald and the name change of Chicago Stock Exchange to NYSE Chicago, Inc. The updates are effective immediately. Attachments A and […]
  • Regulatory Notice 19-32
    Summary The Securities and Exchange Commission (SEC) has approved a proposed rule change to amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) to conform to the requirements of the Fair Access to Investment Research Act of 2017 (FAIR Act).1 The rule change creates a filing exclusion under Rule […]
  • Regulatory Notice 19-31
    Summary This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.

RSS SEC Press Releases

  • SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering
    The Securities and Exchange Commission today announced that it has filed an emergency action and obtained temporary restraining order against two offshore entities conducting an alleged unregistered, ongoing digital token offering in the U.S. and…
  • SEC Appoints Rebekah Goshorn Jurata to PCAOB; Announces Commissioner Hester Peirce to Lead Commission’s Coordination Efforts With PCAOB
    The Securities and Exchange Commission today announced the appointment of Rebekah Goshorn Jurata as a Board member of the Public Company Accounting Oversight Board (PCAOB) for a term ending October 24, 2024. The Sarbanes-Oxley Act of 2002 established…
  • PCAOB Board Member Kathleen Hamm to Complete Term
    The Securities and Exchange Commission today announced that Kathleen M. Hamm will leave the Public Company Accounting Oversight Board (PCAOB) after completing her term as a Board member. Ms. Hamm’s term began in January 2018 and expires…

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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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