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SEC (OCIE) cybersecurity initiative

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 18 2014

The Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") recently issued a National Exam Program

Financial services update April 8 2014 industry news

  • Winston & Strawn LLP
  • -
  • China, USA
  • -
  • April 8 2014

On April 4th, Reuters reported that the China Banking Regulatory Commission (CBRC) will conduct regional and national stress tests on banks. The

Financial services update March 31 2014 insights

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 31 2014

The impact of technology on financial services, markets, and regulation was much in the news last week. Concerns included cyber security and the use

Financial services update March 24 2014 industry news

  • Winston & Strawn LLP
  • -
  • European Union, Japan, USA
  • -
  • March 24 2014

New York Attorney General Decries High-Speed Trading. On March 18th, New York Attorney General Eric Schneiderman called for tougher regulations and

FINRA notifies members of cyber-security sweeps

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 26 2014

The Financial Industry Regulatory Authority, Inc. (FINRA) recently notified its members that it is conducting targeted exams, known as sweeps, that

Financial services update February 24 2014 Securities and Exchange Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 24 2014

On February 21st, Securities and Exchange Commission ("SEC") Chair Mary Jo White noted, among other things, the 2014 priorities of the SEC's

Financial services update February 3 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 3 2014

On January 30th, the Financial Industry Regulatory Authority Announced that effective January 1, 2014, it has amended the provisions of FINRA Rule

Financial services update February 3 2014 Securities and Exchange Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 3 2014

On January 27th, SEC Chair Mary Jo White discussed the new analytical tools developed by the SEC. The Quantitative Analytics Unit in the SEC's

Financial services update January 27 2014 feature: corporate governance

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 27 2014

Recent headlines focusing on cyber security breaches at major retailers such as Neiman Marcus has refocused attention on the SEC's October 13, 2011

SEC approves social media postings for disclosure of material corporate information

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 8 2013

Recognizing the growing influence and reach of social media, the SEC announced on April 2, 2013 that public companies may use social media outlets