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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 18-40
    SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
  • Information Notice – 12/4/18
    Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
  • Regulatory Notice 18-39
    Summary
  • Information Notice – 11/20/18
    FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving

RSS SEC Press Releases

  • Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement
    The Securities and Exchange Commission today announced that Jeffrey S. Mooney has been named Associate Director of the Office of Clearance and Settlement in the agency’s Division of Trading and Markets.  Mr. Mooney joined the SEC staff in 1996 and has served in a variety of roles, most recently as Assistant Director for the Office of […]
  • SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme
    The Securities and Exchange Commission today charged a former Rockland County, New York-based investment adviser and his daughter with conducting a multi-million dollar Ponzi scheme that defrauded local community members as well as members of their family and close friends. The SEC alleges that Hector May, an investment adviser representative and the president and chief compliance officer […]
  • SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
    The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors.  There is no cost to attend the program, which provides an open forum for municipal advisory industry professionals to discuss regulatory and compliance issues […]

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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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