Gabrielle Bernstein

Gabrielle Bernstein

Foley Hoag LLP

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Reminder -- Compliance Date for Identity Theft Red Flags Rules is November 20, 2013

As a reminder, the Identity Theft Red Flags Rules jointly adopted by the SEC and CFTC, which took effect on May 20, 2013, have an upcoming compliance date of November 20, 2013. Under these rules, certain SEC and...more

10/29/2013 - CFTC Compliance Identity Theft Red Flags Rule SEC

SEC and CFTC Jointly Adopt Identity Theft Red Flags Rules Applicable to Investment Advisers and Others

Regulation S-ID - On April 10, 2013, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted identity theft red flags rules (the Rules) and corresponding...more

5/29/2013 - CFTC Compliance Dodd-Frank Identity Theft Investment Adviser Red Flags Rule SEC

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