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Results: 1-10 of 453

The SEC and FINRA increase scrutiny of regulated firms’ cybersecurity

  • Wilmer Cutler Pickering Hale and Dorr LLP
  • -
  • USA
  • -
  • April 1 2015

Continuing their heightened focus on the information security practices of regulated fi rms, both the Securities and Exchange Commission (SEC) and the

SEC and FINRA Report results of cybersecurity examinations

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • March 31 2015

In 2014, the SEC and FINRA separately conducted sweep exams to increase their understanding of the cybersecurity threats faced by investment advisers

The evolving U.S. cybersecurity landscape: what firms want to know

  • Dechert LLP
  • -
  • USA
  • -
  • March 27 2015

Following a year of high-profile data breaches, the Securities and Exchange Commission (SEC) announced on January 13, 2015 that, for the second

FINRA, SEC provide broker-dealers with motivation, tools to get the job done

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • March 26 2015

Both the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have recently issued guidance to

Expect Focus Vol. 1, Winter 2015: trademarks in Cuba, successful whistleblowers, big data, health care encryption, jury instruction tips

  • Carlton Fields Jorden Burt
  • -
  • USA
  • -
  • March 25 2015

New Jersey’s new data privacy standard, signed into law as S. 562 by Gov. Chris Christie on January 9, requires health insurance carriers that are

OCIE and FINRA announce the results of cybersecurity initiatives

  • Mayer Brown LLP
  • -
  • USA
  • -
  • March 25 2015

On February 3, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) of the US Securities and Exchange Commission (“SEC”) and the

FINRA issues report on cybersecurity practices

  • Brooks Pierce McLendon Humphrey & Leonard LLP
  • -
  • USA
  • -
  • March 23 2015

Following up on our post from last week on the SEC’s cybersecurity exam sweep, you should also know about FINRA’s recent report on this area. Last

Cybersecurity securities class actions: a wave or trickle?

  • Lane Powell PC
  • -
  • USA
  • -
  • March 17 2015

One of the foremost uncertainties in securities and corporate governance litigation is the extent to which cybersecurity will become a significant

SEC releases results of cybersecurity exam sweep

  • Brooks Pierce McLendon Humphrey & Leonard LLP
  • -
  • USA
  • -
  • March 16 2015

We’re a bit behind on this, but better (a little bit) late than never. Last month the SEC’s Office of Compliance, Inspections and Examinations

SEC continues focus on cybersecurity preparedness and disclosure

  • Husch Blackwell LLP
  • -
  • USA
  • -
  • March 16 2015

Investigators at the U.S. Securities and Exchange Commission are on the lookout for violations such as poor risk controls or lax disclosures relating