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FINRA Publishes 2024 Annual Regulatory Oversight Report - Financial Services

On January 9, 2024, the Financial Industry Regulatory Authority, Inc. ("FINRA") published the 2024 FINRA Annual Regulatory Oversight Report (the "Report"). ....

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In Continuation Of Longstanding Focus On Cybersecurity, SEC Proposes Significant Amendments To Regulation S-P - Fin Tech

On March 15, 2023 the U.S. Securities and Exchange Commission ("SEC") released its proposal to amend Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information. ....

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SEC Division Of Examinations Releases Its 2022 Examination Priorities - Corporate/Commercial Law

On March 30, 2022, the SEC's Division of Examinations (the "Division") released its 2022 examination priorities (the "Priorities"). ....

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