Data Matters

JANUARY 24, 2020

Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) recently published their examination priorities (together, the Examination Priorities) for the 2020 calendar year. Focus Areas for Both Broker-Dealers and Investment Advisers.

Cybersecurity 68

Cybersecurity Retail Compliance Marketing 68

Data Matters

FEBRUARY 20, 2020

Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) recently published their examination priorities (together, the Examination Priorities) for the 2020 calendar year. Focus Areas for Both Broker-Dealers and Investment Advisers.

Retail 68

Retail Compliance Marketing Risk 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