David M. Katz, Author at Data Matters Privacy Blog

About David M. Katz

New York

Entries by David M. Katz

09 02 '21

FINRA Issues 2021 Report on its Examination and Risk Monitoring Program

February 9, 2021/in Cybersecurity, Enforcement, Financial Privacy, FINRA, Information Security, Policy/by David M. Katz

Released on February 1, the Financial Industry Regulatory Authority (FINRA) 2021 Report on its Examination and Risk Monitoring Program (Report) provides a roadmap for member firms to use to prepare […]

01 10 '20

SEC Issues No-Action Letter for Certain Alternative Trading Systems Trading Digital Asset Securities

October 1, 2020/in Blockchain, FinTech, SEC/by David M. Katz

On September 25, the U.S. Securities and Exchange Commission (SEC)’s Division of Trading and Markets issued its first no-action letter (Letter) to the Financial Industry Regulatory Authority, Inc. (FINRA),1 related to […]