News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

The SEC adopted amendments to Regulation S-P requiring broker-dealers, investment companies, registered investment advisors, and transfer agents to implement and maintain policies and procedures regarding an incident response program that are designed to detect, respond, and recover from unwarranted access or use of client information.

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IARD Annual Renewal Dates

Every year at this time, FINRA will post its Renewal Statements in the IARD Portal.

Reminder: Upcoming SEC Compliance Outreach Seminar

The seminar will focus on providing resources to Chief Compliance Officers and other senior members of registered investment advisers and investment companies.

Are your documents and website up to ADA standards?

The Americans with Disabilities Act of 1990 (ADA) lays out guidelines for how to make documents widely accessible. Learn more about how we can help.

SEC proposes exemption for finders helping small businesses raise capital

The SEC proposed a conditional exemption allowing certain market participants to be exempted from registering as brokers under federal securities laws.

ALERT: Phishing Attack Posing as FINRA Survey

The OCIE was recently made aware of a phishing attempt which could affect broker-dealers, investment advisers, and investment companies.

Does your firm include text messages in its recordkeeping?

If your firm conducts any business via text message, all electronic records should be maintained on a secure archival platform and be easily retrievable.

CCO faces $45,000 fine after falsifying documentation

Recently, a dually registered investment adviser and broker-dealer, and its former Chief Compliance Officer, were charged and fined by the SEC.

The SEC’s 9 recommendations for avoiding “credential stuffing” attacks

Credential stuffing may lead to clients being in danger of loss of assets or public exposure of sensitive information.

How to Identify and Avoid Vishing and Smishing Attacks

Social engineering schemes include vishing and smishing; these schemes are becoming more common among employees who use personal devices for work. Fortunately, there are steps your organization can take to remain aware and vigilant about evolving social engineering attack risks.

Are your firm’s electronic records secure by SEC standards?

In recent years, the SEC has heightened its emphasis on cybersecurity requirements for firms. Routine examinations now often involve in-depth requests for information on firms’ cyber and data security practices, which are areas of evolving risk for all market participants.

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