Here are some cybersecurity tips courtesy of the Department of Homeland Security.
This is a cybersecurity planning guide from the Federal Communications Commission.
Click here to open a Word document. This is an example of a conflicts questionnaire. It comes from a peer. The firm would have staff ...
OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...
Here are several examples of e-mail disclaimers contributed from some of your peers.
A peer shares the firm's policy on whether to retain or shred documents.
This is a list of best practices for firms to consider as part of their business continuity planning (BCP). The SEC, CFTC and FINRA jointly ...
We occasionally provide tools that we hope you find useful in carrying out your compliance duties. This first tool is a spreadsheet to track the status ...
This is a sweep exam letter that FINRA sent after Hurricane Sandy in 2012 seeking answers to questions related to firms' business continuity plans (BCPs).
Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules