Compliance Advisers, Inc

Compliance Advisers, Inc

Search
Skip to content
  • Home
  • About Us
  • Broker/Dealer Compliance
    • Broker/Dealer Registration
    • FINRA (NASD) Rule 1017 Material Change Applications
    • Form CRS – Due June 30th
    • Expert Compliance Consulting
    • Independent AML Testing
    • FINRA Rule 3120 Testing & Verification and 3130 Certification
    • Compliance Manuals
    • Cybersecurity Written Policies and Procedures & Assessments
    • Continuing Education
    • Crowdfunding Portal Registration
  • Investment Adviser Compliance
    • Investment Adviser Registration
    • Form ADV/Form CRS
    • Annual Review Required by SEC Rule 206(4)-7
    • Advisers to Private Funds: Mock SEC Presence Exam
    • Investment Adviser Policy & Procedures Manuals
    • Investment Adviser Compliance Consulting
    • Model Guidance for IA Business Continuity and Succession Planning
    • Web IARD/CRD Services
  • Expert Witness Services
  • Financial Principal
    • Financial Principal Services
  • Members
    • Client Login
  • Contact Us
    • Contact Information
    • Get Started with Compliance Advisers
    • Careers
Uncategorized

Cybersecurity: Taming the Lion

November 6, 2017 karen

3a. PPT – Cybersecurity Taming the Lion

by Karen A Steighner and Philip Feigin

Post navigation

Previous PostPreparing for the New Form ADV AmendmentsNext PostTime to Schedule your 1Q19 Rule 3120 Annual Review & 3130 Certification

(303) 795-0400

Telephone

RSS FINRA Notices

  • Regulatory Notice 21-27
    Executive Summary FINRA is making available updates to interpretations in the Interpretations of Financial and Operational Rules that have been communicated to FINRA by the staff of the SEC’s Division of Trading and Markets (SEC staff). The updated interpretations are with respect to Securities Exchange Act (SEA) Rules 15c3-1 and 15c3-3.  Questions concerning this Notice […]
  • Regulatory Notice 21-26
    Summary FINRA has adopted changes to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications that promote or recommend private placement offerings that are subject to those rules’ filing requirements.1 The new filing requirements become effective on October 1, 2021.
  • Regulatory Notice 21-25
    Summary For the past several years, FINRA has encouraged firms to keep their risk monitoring analyst informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and is encouraging firms to continue […]
  • Regulatory Notice 21-24
    This Notice announces, effective immediately, clarifications of interpretations of the FINRA margin rule regarding minimum equity requirements in FINRA Rule 4210(b). Questions concerning this Notice should be directed to:

RSS SEC Press Releases

  • YJ Fischer to Join SEC as Director of the Office of International Affairs
    The Securities and Exchange Commission today announced the appointment of YJ Fischer as Director of the Office of International Affairs (OIA), effective Aug. 2. Ms. Fischer previously served in various roles at the U.S. State Department during the…
  • SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies
    The Securities and Exchange Commission today announced an emergency action including a temporary restraining order and asset freeze to stop an alleged fraudulent offering of securities and misappropriation of investor assets by Outdoor Capital Partners…
  • SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors
    The Securities and Exchange Commission today announced that it has filed an emergency action charging California resident Charlie Abujudeh with running microcap fraud schemes targeting retail investors. According to the SEC’s complaint filed today in U.…

Customized Compliance Solutions™

Recent Posts

  • ESG Disclosures for Investment Advisers July 2, 2021

Archives

Categories

Meta

  • Log in
  • Entries feed
  • Comments feed
  • WordPress.org
Proudly powered by WordPress