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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 | Regulatory Examinations & Enforcement Counsel

What to Expect in 2021 from the SEC’s Division of Enforcement: Material Nonpublic Information

December 10, 2020 by

In today’s remote work environment, cybersecurity has become one of the Industry’s largest vulnerable components when servicing clients. As majority of the Industry has migrated to remote work and new communication technologies, this has forced more data and information to be susceptible to risk. In this blog post, we will discuss material nonpublic information and how we believe this will be an area of additional focus as the Industry gears up for 2021.

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A Forgettable Year for Small Business Ends with Memorable Changes to SEC Regs for Exempt Offerings

November 11, 2020 by

In general, small businesses tend to be more vulnerable in an economic downturn because they lack the financial cushion many larger companies have. Since the creation of the Federal Reserve System in 1913, large businesses have benefited from a more favorable regulatory framework and from liquidity backstops that the Fed has used to fortify weakness in financial markets.

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Third Set of Modifications to CCPA Prompts California Businesses to Revisit Policy on Consumer Data Privacy

November 6, 2020 by

The comment period has closed on the third round of proposed changes to the California Consumer Protection Act (“CCPA”), which were announced October 12, 2020, by the California Office of the Attorney General. There are a number of disputes regarding how the proposed revisions will impact a California consumer, but a number of the proposed revisions appear to address the manner in which a consumer may engage in the opt-out collection process.

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