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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 Rule 3120 Annual Review & 3130 Certification

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RSS FINRA Notices

  • Regulatory Notice 26-10
    FINRA has adopted new intraday margin standards to replace in their entirety the outdated day trading margin requirements, including the day trade count requirements for designating a customer as a “pattern day trader” and the $25,000 pattern day trader minimum equity requirement.
  • Election Notice - 4/6/2026
    The annual meeting of FINRA firms will take place on or about July 13, 2026, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or […]
  • Regulatory Notice 26-09
    In furtherance of the FINRA Forward initiative to support member compliance, FINRA has significantly enhanced Form NMA with improved navigation and document upload capabilities, integrated guidance tools, standardized response fields and clearer questions.
  • Regulatory Notice 26-08
    The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.

RSS SEC Press Releases

  • SEC Charges 21 Individuals With Alleged Wide-Reaching Insider Trading Scheme
    The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit…
  • SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
    Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the application of the federal securities laws to pooled employer plans (PEPs), which help…
  • SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
    The Securities and Exchange Commission today proposed rule and form amendments that would give public companies the option of filing semiannual reports in lieu of quarterly reports to meet their interim reporting obligations under the federal securities…

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