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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 Prepare for Your Rule 3120 Annual Review

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RSS FINRA Notices

  • Regulatory Notice 18-31
    SEC Staff Issues Guidance on Third-Party Recordkeeping Services
  • Regulatory Notice 18-30
    Summary
  • Regulatory Notice 18-29
    FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
  • Regulatory Notice 18-28
    FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website

RSS SEC Press Releases

  • SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
    The Securities and Exchange Commission today announced that an Illinois-based regional center, its CEO, and 37 affiliated limited partnerships have agreed to settle charges related to securities issued under the EB-5 Immigrant Investor Program, which provides foreigners who invest in the U.S. a potential path to becoming a U.S. resident. According to the SEC’s order, […]
  • Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations
    The Securities and Exchange Commission today announced charges against five public companies for failing to provide financial statements that were reviewed by their independent external auditor when they filed quarterly reports with the Commission on Form 10-Q. Regulation S-X provides that interim financial statements must be subject to a review conducted by an independent external […]
  • SEC Staff to Host Nov. 15 Roundtable on the Proxy Process
    The Securities and Exchange Commission today announced that its staff will host a roundtable on Nov. 15 to hear investor, issuer, and other market participant views about the proxy process and rules. The proxy process is central to investors’ participation in corporate governance at U.S. public companies.  The roundtable will focus on key aspects of the U.S. proxy system, […]

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  • Time to Prepare for Your Rule 3120 Annual Review
  • Cybersecurity: Taming the Lion
  • Preparing for the New Form ADV Amendments

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