Data Matters

JANUARY 24, 2020

Focus areas for such examinations will include sales practices, supervision of high-risk personnel and compliance with key regulatory requirements (including Rule 15c2-11 under the Securities Exchange Act of 1934, as amended (Exchange Act), the locate requirement of Regulation SHO and the obligation to file suspicious activity reports (SARs)).

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

Data Matters

MAY 17, 2022

Statement by President Biden on our Nation’s Cybersecurity (March 21, 2022). Defense Information Technology , Cybersecurity & Infrastructure Sec. In response, the Biden Administration has made cybersecurity defense a key agenda item. Strengthening American Cybersecurity Act of 2022, S. Agency (Feb. 14,028, 86 Fed.

Cybersecurity 97

Cybersecurity Government Authentication Ransomware 97

Data Matters

FEBRUARY 20, 2020

Focus areas for such examinations will include sales practices, supervision of high-risk personnel and compliance with key regulatory requirements (including Rule 15c2-11 under the Securities Exchange Act of 1934, as amended (Exchange Act), the locate requirement of Regulation SHO and the obligation to file suspicious activity reports (SARs)).

Retail 68

Retail Compliance Marketing Risk 68