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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 21-01
    Summary FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in CRD/IARD for the annual registration renewal process. The payment deadline is January 22, 2021. Please direct questions concerning this Notice to the FINRA Call Center […]
  • Regulatory Notice 20-43
    Summary In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. Specifically, FINRA is seeking comment on potential changes to TRACE reporting for U.S.
  • Regulatory Notice 20-42
    Summary In response to the coronavirus (COVID-19) pandemic, member firms have made rapid and unprecedented changes to their business operations in order to prioritize the health and safety of firm personnel and investors, while maintaining the public’s access to capital markets. These changes include widespread use of remote offices and alternative work arrangements and new […]
  • Election Notice – 12/15/20
    Executive Summary FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC), and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals […]

RSS SEC Press Releases

  • What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4
    The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation will host its second annual Capital Call on Feb. 4, 2020, at 1 p.m. ET, where the office will talk about what’s happening with capital raising…
  • Fee Rate Advisory #2 for Fiscal Year 2021
    The Securities and Exchange Commission today announced that starting on February 25, 2021, the fee rates applicable to most securities transactions will be set at $5.10 per million dollars.  Consequently, each SRO will continue to pay the…
  • SEC Awards Nearly $600,000 to Whistleblower
    The Securities and Exchange Commission today announced an award of nearly $600,000 to a whistleblower whose tip led to the success of an enforcement action.  The whistleblower substantially contributed to an open investigation by providing detailed…

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