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16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures What happened? On Sept. 27, 2022, the Securities and Exchange Commission (“SEC”) charged 15 broker-dealers and one [...]
NSCP Currents: Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules
Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules
Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million What happened? On Sept. 20, 2022, the Securities and Exchange Commission (“SEC”) charged Morgan Stanley Smith Barney [...]
SEC Risk Alert on the New Marketing Rule: Act Now to Prepare What happened? Examiners will conduct “a number of specific national initiatives” that focus on the new Marketing [...]
SEC Charges Two Advisory Firms for Custody Rule Violations Among Other Violations What happened? On September 9, 2022, the Security and Exchange Commission (“SEC”) charged several investment advisers who [...]
The SEC’s Strategic Plan for 2022-2026 Fiscal Years What happened? On August 24, 2022, the U.S. Securities and Exchange Commission (SEC) announced its plans for the 2022-2026 Fiscal Years [...]