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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

  • Information Notice – 7/13/18
    Summary Recently, FINRA has received reports of member firms receiving telephone calls from persons claiming to work for FINRA in an attempt to deceive firms into revealing confidential information. FINRA is notifying firms that these individuals may be impersonators. Firms that receive telephone calls or emails purportedly from someone at FINRA requesting any type of […]
  • Regulatory Notice 18-20
    FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
  • Election Notice – 6/11/18
    Notice of Special Meeting of Large Firms and Proxy
  • Election Notice – 5/25/18
    Upcoming FINRA Board of Governors Election

RSS SEC Press Releases

  • SEC Charges Oil Company CEO, Board Member With Hiding Personal Loans
    The Securities and Exchange Commission today charged the former CEO of Energy XXI Ltd. with hiding more than $10 million in personal loans that he obtained from company vendors and a candidate for Energy XXI’s board.  At the time of the alleged misconduct, Energy XXI was NASDAQ-listed and one of the largest oil and gas […]
  • SEC Files Charges in Busted Microcap Schemes
    The Securities and Exchange Commission has charged a stock promoter and four others involved in an alleged series of microcap fraud schemes that were foiled by FBI undercover work and an SEC trading suspension. According to the SEC’s complaint filed in federal court in southern California on July 6, stock promoter Gannon Giguiere took control […]
  • SEC Issues Agenda for July 16 Meeting of the Fixed Income Market Structure Advisory Committee
    The Securities and Exchange Commission today released the agenda for the July 16 meeting of the Fixed Income Market Structure Advisory Committee.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on fixed income market structure issues. The meeting will be held at the […]

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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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