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Cybersecurity enforcement actions : is the SEC bringing strict liability cases?

Rubin, Brian; Xu, Amy - In: The journal of investment compliance 17 (2016) 1, pp. 112-116

Persistent link: https://www.econbiz.de/10011523768

Broker-dealers need to respond to recent focus on cybersecurity threats

Petron, David; Wolk, Michael; McNicholas, Edward - In: The journal of investment compliance 15 (2014) 2, pp. 29-32

Persistent link: https://www.econbiz.de/10010396203

Broker-dealers need to respond to recent focus on cybersecurity threats

Petron, David; Wolk, Michael; McNicholas, Edward - In: Journal of Investment Compliance 15 (2014) 2, pp. 29-32

Purpose – To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design …/methodology/approach – Reviews four regulatory developments in the cybersecurity area and provides several steps broker-dealers should undertake to … review and improve their cybersecurity and information technology protocols and practices. Findings – While FINRA’s new …

Persistent link: https://www.econbiz.de/10014893746

Securities regulators' overlapping priorities provide guidance for examination preparation

Nathan, Daniel A.; Marshall, Elizabeth - In: The journal of investment compliance 18 (2017) 1, pp. 15-18

Persistent link: https://www.econbiz.de/10011662048

SEC approves FINRA's rules to protect seniors from financial exploitation

Kutner, Matthew J. - In: The journal of investment compliance 18 (2017) 3, pp. 64-66

Persistent link: https://www.econbiz.de/10011804837

Securities regulators’ overlapping priorities provide guidance for examination preparation

Nathan, Daniel A.; Marshall, Elizabeth - In: Journal of Investment Compliance 18 (2017) 1, pp. 15-18

and sales practices, cybersecurity, branch offices and anti-money laundering. Findings As in recent years, there is a … suitability, and cybersecurity, among others. Practical implications Registered investment advisers and broker-dealers should note …

Persistent link: https://www.econbiz.de/10014893638

SEC approves FINRA’s rules to protect seniors from financial exploitation

Kutner, Matthew J. - In: Journal of Investment Compliance 18 (2017) 3, pp. 64-66

Purpose To inform readers of new FINRA Rule 2165 and amended FINRA Rule 4512, which are aimed at protecting seniors from financial exploitation. Design/methodology/approach This article discusses the scope of the FINRA Rules and amendments, including provisions for temporary holds on...

Persistent link: https://www.econbiz.de/10014893787

Heightened supervision of branch offices

Nathan, Daniel A.; Navarro, Lauren; Matta, Kevin - In: The journal of investment compliance 16 (2015) 2, pp. 18-21

Persistent link: https://www.econbiz.de/10011405512

Heightened supervision of branch offices

Nathan, Daniel A.; Navarro, Lauren; Matta, Kevin - In: Journal of Investment Compliance 16 (2015) 2, pp. 18-21

Purpose – To explain expectations of the US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) as to what constitutes successful branch inspection programs for broker-dealers. Design/methodology/approach – Summarizes FINRA’s rules requiring firms...

Persistent link: https://www.econbiz.de/10014893672

Selected FINRA notices and disciplinary actions, September 2012‐April 2013

Davis, Henry A. - In: Journal of Investment Compliance 14 (2013) 2, pp. 66-80

Purpose – The purpose of this paper is to provide selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in June, July, and August 2012. Design/methodology/approach – The paper provides FINRA Regulatory Notice 12‐40, SEC Approves New...

Persistent link: https://www.econbiz.de/10014893739

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