FINRA Examinations

FINRA Issues Report on Cybersecurity Practices – The National Law Review

FINRA Issues Report on Cybersecurity PracticesThe National Law ReviewIn 2014, FINRA conducted targeted examinations at a cross-section of member firms, including large investment banks, clearing firms, online brokerages, high-frequency traders, and independent dealers. FINRA had four objectives: (1) to understand the …

Promo OREO — "Mi Villano Favorito II"

SEC and FINRA Report results of cybersecurity examinations – Lexology (registration)

SEC and FINRA Report results of cybersecurity examinationsLexology (registration)In 2014, the SEC and FINRA separately conducted sweep exams to increase their understanding of the cybersecurity threats faced by investment advisers and broker-dealers. Recently, both the SEC and FINRA reported on the results of those efforts, and the …SEC Rule Change Would Require High-Frequency Traders To Register With …Mondaq News Alerts (registration)all 15 news articles »

Bankers are complaining–again!–about too much regulation

The term "regulatory capture" refers to what happens when regulators swim so close to the companies they regulate that they get snared in those companies' gravitational fields. What results is tolerant, indulgent regulation, or none at all. For a good example, think of banking regulation……

Posted in Ontario Security Training.