The Securities and Exchange Commission (SEC) continued its focus on cybersecurity regulations this month by announcing three new proposed rules and re-opening the comment period on an additional proposed rule from last year....more
The countdown to June 30, 2020 is on – the deadline by which broker-dealers with retail customers must comply with Regulation Best Interest (Reg BI), and broker-dealers and investment advisers must comply with Customer...more
It should not be surprising to anyone that cybersecurity and data protection remain top priorities for regulators of the financial services industry. Indeed, cybersecurity has been regularly identified as a key priority by...more
5/3/2019
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
Data Security ,
Investment Adviser ,
OCIE ,
Opt-Outs ,
Policies and Procedures ,
Popular ,
Privacy Policy ,
Regulation S-P ,
Risk Alert ,
Securities and Exchange Commission (SEC)
On October 24, 2016, the United States Securities and Exchange Commission (SEC)'s Office of Compliance Inspections and Examinations (OCIE) released an alert examining whistleblower rule compliance and the use of...more
On December 16, 2015, the Financial Industry Regulatory Authority (FINRA) proposed Rule 2273 requiring brokers who move to a new firm to send an "educational communication" to customers they want to take with them, informing...more
Over the past several months, confidentiality provisions included in settlement agreements, employment or independent contractor contracts, or in other documents, have come under increased scrutiny in the financial industry....more
7/10/2015
/ Broker-Dealer ,
Confidentiality Agreements ,
Department of Justice (DOJ) ,
Dodd-Frank ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Independent Contractors ,
KBR (formerly Kellogg Brown & Root) ,
Securities and Exchange Commission (SEC) ,
Settlement Agreements ,
Whistleblowers