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2023 Report on FINRA’s Examination and Risk Monitoring Program

USA - February 7 2023 On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”)…

Richard M. Cutshall, Douglas W. Hathaway, William B. Mack

SEC Announces 2022 Examination Priorities

USA - May 5 2022 On March 30, 2022, the Securities and Exchange Commission (SEC) Division of Examinations (Division) announced its examination priorities (the Exam…

Richard M. Cutshall, Douglas W. Hathaway

2022 report on FINRA’s examination and risk monitoring program

USA - February 24 2022 On Feb. 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its 2022 Report on FINRA’s Examination and Risk Monitoring Program…

Richard M. Cutshall, Douglas W. Hathaway, William B. Mack

SEC issues proposed cyber rule, including 48-hour breach reporting requirement

USA - February 13 2022 On Feb. 9, 2022, the SEC released its long-awaited proposed cybersecurity rule, and there’s a lot to unpack. As GT reported previously, the SEC…

Steven M. Malina, Jena M. Valdetero

SEC issues risk alert regarding Registered Investment Companies

USA - November 3 2021 On Oct. 26, 2021, the Securities and Exchange Commission (SEC) Division of Examinations ("Division") issued a Risk Alert ("Risk Alert") in which it…

Douglas W. Hathaway