Investment Company Regulation

The SEC recently issued an investor bulletin regarding one of our favorite topics; data security of customer accounts. The primary areas of the SEC’s focus were:

  1. Have a strong password,

Continue Reading Who wants more reasons to focus on data security

A recent article in highlighted certain areas of focus for investment advisors/broker-dealers when it comes to addressing cyber-threats. The article focused on four areas of particular significance.

Continue Reading Who wants some advice regarding cyber-threats?

At the end of last month, the SEC provided a guidance update on cybersecurity for registered investment companies and registered investment advisors. This guidance is equally instructive for broker-dealers and
Continue Reading So What Does The SEC Think About Cybersecurity

Tis the season for the regulators to announce their examination priorities.  No less than the SEC’s Office of Compliance Inspections and Examinations released its 2014 Examination Priorities for its National
Continue Reading SEC Announces Exam Priorities

FINRA has published guidance on its new marketing Rule 2210.  See

FINRA has indicated that retail communications that will now be subject to this filing requirement has to be filed

Continue Reading BDs Remember to File Marketing Material