Last week, the Financial Industry Regulatory Authority (FINRA) published its 2025 Annual Regulatory Oversight Report. The 80-page report hits on a number of familiar themes and subjects and includes two […]
On May 16, 2024, the U.S. Securities and Exchange Commission (SEC) adopted amendments to its Regulation S-P. These final amendments impose significant cybersecurity requirements for several SEC-registered entities and transfer […]
On March 15, 2023, the U.S. Securities and Exchange Commission (SEC) proposed three rules related to cybersecurity and the protection of consumer information and reopened the comment period for a […]
On January 10, 2023, the Financial Industry Regulatory Authority (FINRA) published its 2023 Report on its Examination and Risk Monitoring Program (the Report).1 The 75-page Report includes four new topic areas […]