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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 20-37
    Executive Summary The NAC has revised the principal considerations in the Sanction Guidelines to expressly contemplate a customer’s age or physical or mental impairment that renders the individual unable to protect his or her own interests. The revised Sanction Guidelines are effective immediately and available on FINRA’s website. Questions concerning this Notice should be directed […]
  • Election Notice – 10/20/20
    Executive Summary The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. […]
  • Election Notice – 10/20/20
    Executive Summary The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
  • Information Notice - 10/15/20
    Summary A key element in any firm’s cybersecurity program is a robust authentication process, i.e., the method that confirms that an authorized user seeking access to a firm’s information technology systems is who they say they are.1 This process typically relies on one or more “factors,” such as a password or personal identification number (PIN) […]

RSS SEC Press Releases

  • SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions
    The Securities and Exchange Commission today charged Israeli company Tradenet Capital Markets Ltd. for offering and selling security-based swaps to over 5,000 retail investors without registration and for failing to transact its swaps on a registered…
  • SEC Issues Record $114 Million Whistleblower Award
    The Securities and Exchange Commission today announced an award of over $114 million to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions.  The $114 million award consists of an…
  • SEC Charges Goldman Sachs With FCPA Violations
    The Securities and Exchange Commission today announced charges against The Goldman Sachs Group Inc. for violations of the Foreign Corrupt Practices Act (FCPA) in connection with the 1Malaysia Development Berhad (1MDB) bribe scheme, and as part of…

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