News & Analysis as of September 23, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Financial Markets

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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 -

Regulatory Roundup for July 2024

SEC Compliance Consultants, Inc. (SEC³) on 7/31/2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Intercontinental Exchange Settles with SEC Over Alleged Delay in Notification of Hack

Robinson+Cole Data Privacy + Security Insider on 5/28/2024

Intercontinental Exchange, Inc. (ICE), the owner of the New York Stock Exchange, has agreed to settle with the Securities and Exchange Commission (SEC) for $10 million over allegations that it failed to timely notify the SEC...more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

SIFMA’s After-Action Report on Quantum Dawn VI Cybersecurity Exercise

Burr & Forman on 4/1/2022

On March 31, 2022, the Securities Industry and Financial Markets Association (“SIFMA”) released its after-action report on Quantum Dawn VI – a global financial-markets cybersecurity exercise....more

CFPB Launches New Initiative Focused on Rural Communities

Goodwin on 3/18/2022

In This Issue. The Consumer Financial Protection Bureau (CFPB) announced a new initiative focused on financial issues faced by rural communities and also updated its examination procedures to cover unfair discrimination; the...more

FINRA’S 2022 Report on Examination & Risk Monitoring Program

Burr & Forman on 2/10/2022

Over the last couple of decades, the securities self-regulatory organization FINRA (f/k/a NASD) informs its membership each year of what compliance risks are noted by its examination program. Those are risks firms should...more

Financial Daily Dose 10.19.2021 | Top Story: SEC Issues Long-Awaited Report on Meme Stock Craze

Robins Kaplan LLP on 10/20/2021

The SEC was out Monday with a long-awaited report on the meme-stock frenzy that helped propel GameStop and a handful of other “little-regarded” companies to meteoric rises in the depths of our first Covid winter. The report,...more

Market Trends 2020/21: Cybersecurity-Related Disclosures

Mayer Brown Free Writings + Perspectives on 8/12/2021

SEC Focus - The Securities and Exchange Commission (SEC) has been focused on cybersecurity issues for over a decade, tracing back to its initial guidance on this topic in 2011. On October 16, 2018, the SEC released a...more

Litigation and Regulatory Considerations and Risks for Financial Market Participants in a Post-Pandemic Society

Jones Day on 5/17/2021

More than a year ago the world fell victim to a global pandemic that would change life in ways that could never have been predicted. In the early stages of the pandemic, we published a White Paper directed at financial...more

Risk Factor Considerations In The Time Of COVID-19

Fox Rothschild LLP on 6/5/2020

In Quarterly Reports on Form 10-Q, companies are required to disclose any material changes to risk factors that were included in their most recent Annual Report on Form 10-K. Many companies do not update risk factors in...more

Cyber Still Atop Exam Priorities

Burr & Forman on 2/27/2020

FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more

SEC and FINRA Broker-Dealer Exam Priorities for 2019: How to Prepare

Jones Day on 3/21/2019

Earlier this year, the Financial Industry Regulatory Authority released its 2019 Annual Risk Monitoring and Examination Priorities Letter. These published priorities, together with the U.S. Securities and Exchange...more

Investment Management Update

Ballard Spahr LLP on 2/15/2019

The Securities and Exchange Commission (SEC) has proposed a new rule and related amendments designed to streamline and enhance the regulatory framework for "fund of funds" arrangements....more

Your Daily Dose of Financial News

Robins Kaplan LLP on 11/8/2018

Wall Street apparently views a divided Congress as a good thing (think less chance of tighter regulation), and it celebrated by pushing the Dow up 500 points and jumping back into tech stocks....more

Your Daily Dose of Financial News

Robins Kaplan LLP on 8/16/2018

Today’s Muskdate is all about the SEC issuing a subpoena to Tesla as it continues its investigation into Elon’s August 7 Twitter post about the “funding secured” detail of his plans to take the company private....more

Cryptocurrency Industry Insiders Eager for Regulatory Clarity, Foley Survey Finds

Foley & Lardner LLP on 6/28/2018

A decade into the cryptocurrency revolution, the digital currency’s future is awash with questions from regulation and enforcement to exactly what type of asset they are to the impact of volatility in market values....more

SEC Commissioners Provide Guidance On Cybersecurity Disclosures After Wave Of Record Incidents

Orrick, Herrington & Sutcliffe LLP on 3/16/2018

Much has been written about the SEC’s interpretive guidance on cybersecurity disclosures, issued in late February, including Commissioner Stein’s statement that it under-delivers for investors, public companies, and the...more

Registered Firms: Annual Compliance Obligations—What You Need To Know

Pillsbury Winthrop Shaw Pittman LLP on 3/13/2018

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

SEC Announces 2018 National Examination Priorities

Troutman Pepper on 2/19/2018

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently announced its 2018 national examination priorities, which are broken down into five categories...more

SEC Cyber Watch: Finally, New Guidelines for Breach Disclosures?

Patterson Belknap Webb & Tyler LLP on 11/13/2017

The U.S. Securities and Exchange Commission has signaled that it expects to issue updated guidelines on reporting cybersecurity incidents. “I think this issue is important enough, wide-ranging enough that we should tackle...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 11/13/2017

Big news out of Uber this weekend, where the company and its board resolved outstanding issues with Travis Kalanick in order to finalize a deal in which a SoftBank-led consortium of investors will buy up about $1 billion of...more

SEC’s Chairman Makes Changes After the Agency’s Latest Cyber-Attack

Burr & Forman on 10/13/2017

The Securities Exchange Commission (“SEC”) has been busy the last couple months on the cyber front. On September 20, the SEC announced a renewed focus on cybersecurity efforts and disclosed that it had been a victim of a...more

The SEC Gets Hacked: What Now?

Nossaman LLP on 10/10/2017

It was recently revealed that the Securities and Exchange Commission’s (“SEC”) EDGAR database, which is used by public companies to file official documents, was breached. According to the SEC, trading off of that hacked...more

SEC Warns of Ransomware Attacks

Patterson Belknap Webb & Tyler LLP on 5/19/2017

The U.S. Securities and Exchange Commission is asking broker-dealers, investment advisers and funds to redouble their cybersecurity efforts in wake of the global cyber-attack of the WannaCry virus that has spread to more than...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 2/24/2017

Financial Industry Developments - New York Department of Financial Services Promulgates First-in-the-Nation State Cybersecurity Regulation - On February 16, 2017, the New York Department of Financial Institutions...more

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