Author: Jacko Law Group, PC

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FINRA Report Suggests Growing Need for Enhanced Risk Management in Cybersecurity and Outside Business Activities
Blog | FINRA Broker-Dealer Regulatory Counsel

FINRA Report Suggests Growing Need for Enhanced Risk Management in Cybersecurity and Outside Business Activities

March 12, 2021 by

Firms that have seen the recently released 2021 Report on the Financial Industry Regulatory Authority’s (FINRA’s) Examination and Risk Monitoring Program (the “Report”) should be formulating plans to fortify their compliance programs based on the noteworthy findings shared from recent FINRA exams. The Report provides firms with valuable insight into 18 regulatory topics categorized by Firm Operations, Communications and Sales, Market Integrity, and Financial Management.

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Blog | IA Marketing Rule Counsel

New Advisers Act Advertising Rule to Undergo Further Review

February 10, 2021 by

Investment Advisory firms that are eagerly awaiting the revisions recently adopted by the U.S. Securities and Exchange Commission (SEC) to the archaic Advisers Act Advertising Rule previously anticipated to become effective this spring, will have to wait a bit longer.  The Advertising Rule prepared and approved under the former Trump Administration is now required to undergo review by the newly installed Biden Administration.

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