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Risk Mitigation Data Protection Financial Industry Regulatory Authority

SEC Issues Cybersecurity Examination Risk Alert

by WilmerHale on

On September 15, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert re-emphasizing the careful scrutiny it will give to the data security practices of...more

FINRA Issues 2013 Regulatory and Examination Priorities Letter

by Baker Donelson on

Overview: On January 11, 2013, the Financial Industry Regulated Authority (FINRA) issued its 2013 Annual Regulatory and Examination Priorities Letter (Priorities Letter). This letter is issued annually to highlight...more

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Cybersecurity

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