News & Analysis as of September 21, 2024

SEC Examination Priorities

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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... 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 Releases Cybersecurity and Resiliency Observations: A Potentially Useful Guide for Businesses

Hogan Lovells on 2/7/2020

In today’s connected world, businesses face constant pressure to improve their cybersecurity practices and to confirm that they are meeting industry standards. To continue helping businesses achieve those goals, the SEC...more

Global Privacy & Cybersecurity Update Vol. 13

Jones Day on 3/15/2017

On December 28, 2016, the New York Department of Financial Services ("DFS") released a revised version of a proposed regulation that would require banks, insurance companies, and other financial services institutions...more

2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

Morgan Lewis on 3/1/2017

Executive Summary - The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and...more

Corporate Investigations & White Collar Defense - October 2015

Manatt, Phelps & Phillips, LLP on 10/23/2015

"Wherefore Art Thou Due Process?" Part III - Why it matters: It is time for another installment in our continuing "Wherefore Art Thou Due Process?" coverage into the ongoing constitutional challenges to the SEC's...more

Proactive Approach To Cybersecurity: Recent SEC guidance and enforcement actions suggest that reactive firms may be in the SEC’s...

Morgan Lewis on 10/12/2015

In an environment where even the largest and most powerful corporations have fallen victim to data breaches, it can be challenging to fathom how to protect against the sophisticated and ever-evolving threat of cyber attacks....more

SEC to Conduct Second Round of Cybersecurity Examinations

Proskauer on Privacy on 9/17/2015

On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert announcing its second round of examinations of registered investment...more

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