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Tag: FINRA

Just in Time For The Holidays – The Gift of Cybersecurity Awareness

In the wake of the many highly publicized data-breaches in 2014, our clients have reached out to us for advice and guidance in an effort to increase the overall awareness of Cybersecurity risk within their respective organizations. 

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Compliance Bulletin 04-14

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For […]

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Mitch Avnet Moderates FINRA and SEC Exam Trends Panel at RCA2014

Mitch Avnet had the honor of moderating this year's RCA panel on recent FINRA and SEC exam trends. This is RegEd's 3rd year of hosting the spectacular event, that brings over 100 compliance professionals, industry experts, regulators and industry consultants together under one roof.

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ALERT: FINRA Cyber-Security Sweep

In light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms' IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose FINRA is now conducting an assessment of firms' approaches to managing cyber-security threats.The four broad goals that you need to know about FINRA's Cyber Security assessment...

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