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Cybersecurity › Private Placements

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +
Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now.   less -
Carlton Fields

Expect Focus - Volume II, May 2024

Carlton Fields on

Last Lap in SEC RILA Rulemaking Critical Unresolved Issues - Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC...more

Mayer Brown Free Writings + Perspectives

FINRA Releases 2023 Report on Its Examination and Risk Monitoring Program

Mayer Brown Free Writings + Perspectives on

On January 10, 2023, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report), available at:  2023 Report on FINRA’s Examination and...more

Levenfeld Pearlstein, LLC

How to Address Cybersecurity Risks In A Private Placement Memorandum

Levenfeld Pearlstein, LLC on

The Securities and Exchange Commission (the “SEC”) requires companies to disclose the most significant factors that make investments in the company speculative or risky. Private Placement Memorandums (“PPMs”) are often used...more

Morrison & Foerster LLP

FINRA Issues Comprehensive Guidance On Compliance And Risk Monitoring

Morrison & Foerster LLP on

The Financial Regulatory Authority (“FINRA”) recently issued a comprehensive report on compliance issues noted in its examination program (the “Report”). The Report is intended to assist broker-dealers in identifying and...more

Baker Donelson

Common Trends in FINRA and SEC Regulatory Priorities

Baker Donelson on

Each year, both the Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more

Katten Muchin Rosenman LLP

SEC 2016 Examination Priorities Focus on ETFs, Cybersecurity and Liquidity Controls for Fixed-Income Funds

Katten Muchin Rosenman LLP on

On January 11, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2016 examination priorities for investment companies, investment advisers, broker-dealers and...more

Fenwick & West LLP

Securities Litigation and Enforcement Newsletter

Fenwick & West LLP on

A CD or not a CD, That is the Question… That the Auditors Should Have Answered - A headline-grabbing SEC enforcement action last week against BDO USA and several of its national partners may lead audit firms to insist on...more

Katten Muchin Rosenman LLP

FINRA Issues Annual Regulatory and Examination Priorities Letter for 2015

Katten Muchin Rosenman LLP on

One January 6, the Financial Industry Regulatory Authority issued its annual letter to FINRA member firms outlining FINRA’s regulatory and examination priorities for the coming year....more

Katten Muchin Rosenman LLP

Bridging the Week - January 2015 #2

Katten Muchin Rosenman LLP on

FINRA Highlights Member Examinations Focus for 2015 - The Financial Industry Regulatory Authority issued its annual letter to broker-dealers setting forth its regulation and examination priorities for the new year....more

BakerHostetler

FINRA Offers Regulatory Road Map for 2013

BakerHostetler on

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the...more

Baker Donelson

FINRA Issues 2013 Regulatory and Examination Priorities Letter

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

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

Foley & Lardner LLP on

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

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