by Sharon Jones | Aug 26, 2020 | SEC Risk Alert
The SEC published a risk alert providing guidance to broker/dealers and investment advisors regarding COVID-19-related issues, risks, and practices relevant that apply to their business. The SEC believes that due to the volatility in the market, that it may cause... 
by Sharon Jones | Aug 14, 2020 | Cybersecurity
In the financial services industry, recent reports indicate that cyber-attackers are orchestrating more phishing and other campaigns designed to penetrate financial institution networks to access internal resources and deploy ransomware. Ransomware is a type of... by Sharon Jones | Aug 4, 2020 | FINRA
FINRA recently published guidance to help broker/dealers ensure their communications regarding private placement offerings comply with FINRA rule 2210, Communications with the Public. FINRA Notice 20-21 reminds firms that all communications must be fair and balanced...