One of the world’s largest cryptocurrency exchanges - FTX Trading Ltd. - and many of its affiliates filed for bankruptcy earlier this month. While the full impact of the FTX bankruptcy is not yet clear, various responses from...more
12/1/2022
/ Biden Administration ,
CFTC ,
Chapter 11 ,
Commercial Bankruptcy ,
Corporate Counsel ,
Crypto Exchanges ,
Cryptocurrency ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Agencies ,
Financial Services Industry ,
Financial Stability Board ,
G20 ,
Market Participants ,
Regulatory Agenda ,
Regulatory Authority ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC)
FINRA released Regulatory Notice 20-08, “Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief,” (the Notice) on March 9, 2020. The Notice primarily serves as (1) a reminder of firms’ obligations to...more
On September 15, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert re-emphasizing the careful scrutiny it will give to the data security practices of...more
9/21/2015
/ Cybersecurity ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Obama Administration ,
OCIE ,
Risk Alert ,
Risk Assessment ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Security and Privacy Controls ,
Vendors
More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission (SEC or Commission) has approve new FINRA rules addressing conflicts of interest for both...more