Compliance Advisers, Inc

Compliance Advisers, Inc

Search
Skip to content
  • Contact Us
  • Home
    • Website Disclosures, Privacy Policy & Terms of Use
  • Contact Information
  • About Us
  • Investment Adviser Compliance
    • Investment Adviser Registration
    • Annual Review Required by SEC Rule 206(4)-7
    • Form ADV/Form CRS
    • 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
  • Broker/Dealer Compliance
    • FINRA Rule 1014 – Broker/Dealer Registration
    • Expert Compliance Consulting
    • FINRA Rule 1017 Material Change Applications
    • Independent AML Testing
    • FINRA Rule 3120 Testing & Verification and 3130 Certification
    • Form CRS
    • Compliance Manuals
    • Cybersecurity Written Policies and Procedures & Assessments
    • Continuing Education
    • Crowdfunding Portal Registration
  • Financial Principal
    • Financial Principal Services
  • Expert Witness Services
  • Careers
    • FinOp Opportunities
  • Members
    • Client Login
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 Rule 3120 Annual Review & 3130 Certification

(303) 795-0400

Telephone

RSS FINRA Notices

  • Election Notice - 12/16/2025
    FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees,1 and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC).
  • Regulatory Notice 25-18
    Summary FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to accelerate the processing of arbitration proceedings for parties who qualify based on their age or health condition.The amendments add new Rules 12808 and 13808 (Accelerated Processing) to the Codes, and are effective for arbitration cases filed on or after March 30, 2026.The text of the rule […]
  • Regulatory Notice 25-17
    SummaryFINRA has amended its TRACE reporting requirements to permit a firm that is both a broker-dealer and an investment adviser to report allocations of specified orders to managed customer accounts in a streamlined, aggregated manner. These amendments will take effect on June 8, 2026. FINRA is not otherwise changing its TRACE reporting requirements. The rule text […]
  • Regulatory Notice 25-16
    SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to better balance the process for generating the list of public arbitrators sent to the parties in certain customer and industry disputes that have a three-arbitrator panel. In addition, FINRA has made ministerial Code changes to codify certain current practices; establish new timeframes for certain actions; […]

RSS SEC Press Releases

  • Deputy Director of Enforcement Nekia Hackworth Jones Concludes Her Tenure at the SEC
    The Securities and Exchange Commission today announced that Nekia Hackworth Jones, Deputy Director of the Division of Enforcement (Southeast), concluded her tenure with the agency on December 26, 2025.“I am thankful to Nekia for answering the call to…
  • SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe
    The Securities and Exchange Commission today announced that Cicely LaMothe, Deputy Director of the Division of Corporation Finance, has retired from the agency.“Cicely has gone above and beyond the call of duty over the past twenty-four years to serve…
  • SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media
    The Securities and Exchange Commission today filed charges against purported crypto asset trading platforms Morocoin Tech Corp., Berge Blockchain Technology Co. Ltd., and Cirkor Inc. and investment clubs AI Wealth Inc., Lane Wealth Inc., AI Investment…

Customized Compliance Solutions™

Recent Posts

  • IA’s: 2024 Annual Rule 206(4)-7 Reviews January 16, 2025

Archives

Categories

Meta

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