Search for: "Best Security Industries"
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1 Jun 2019, 1:51 am
SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals (SEC Press Release)https://www.sec.gov/news/press-release/2019-89In part the SEC Release states:Under Regulation Best Interest, broker-dealers will be required to act in the best interest of a retail customer when making a recommendation of any securities transaction or investment strategy involving securities to… [read post]
26 Jun 2015, 8:41 am
We have highlighted some of the NYPD’s best nightclub security practices below. [read post]
19 Apr 2013, 10:18 pm
These were the same five industries I had been saying for years. [read post]
20 Sep 2011, 4:29 pm
If you are in the film industry - or want to be in the film industry - and read a short story, novel, article, or other published material that you think would be a great subject for a movie, then your next step should be to contact an entertainment lawyer to help research the rights to the material, and if possible, help secure the film rights. [read post]
15 May 2019, 9:23 am
“BSA deserves a lot of credit for its hard work on software security best practices. [read post]
12 Aug 2015, 6:41 am
A range of securities industry groups testified before the Department of Labor on August 10 to both praise and criticize the DOL’s proposed definition of fiduciary. [read post]
2 Dec 2019, 5:39 am
Currently, to the extent that ESG information is material under the U.S. federal securities laws, public companies are already required to include it in their filings with the Securities and Exchange Commission (SEC). [read post]
6 Mar 2019, 5:00 am
In an Investor Alert, the Financial Industry Regulatory Authority and the US Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) sought to inform investors about the risks involved in securities-backed lines of credit (SBLOCs). [read post]
4 Aug 2021, 2:00 am
Implement well-thought-out plans, and provide industry-appropriate security, whether it’s adding encryption and multifactor authentication or simply improving your employee training program. [read post]
17 May 2012, 10:49 am
If dealing with a current case that has not yet resolved, it is important to understand what result is disqualifying and what is not, so that you can seek to negotiate or obtain the best possible outcome that would still allow you to be eligible to continue working in the industry. [read post]
21 Apr 2020, 9:57 am
Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert to provide broker-dealers with guidance on examinations regarding regulation Best Interest (“Reg BI”). [read post]
28 Sep 2017, 2:09 pm
Common Securities Abuses Unfortunately, far too many businesses in the securities industry operate under the principle of “What you don’t know can hurt you. [read post]
28 Nov 2023, 5:34 am
With the right measures in place and everyone pulling their weight by adopting the recommended security measures, you will have the best chance of keeping your company safe from a cyber crisis. [read post]
18 Jan 2017, 1:35 pm
According to FINRA, Henry Dean Watson (CRD#: 1326969) has been permanently barred from the securities industry. [read post]
11 Feb 2016, 8:11 pm
Not all the nation’s industries have recovered at the same pace. [read post]
2 Sep 2022, 8:49 am
The industry is a treasure trove of information to be exploited by criminals. [read post]
27 Sep 2022, 11:48 am
He is also been awarded Superlawyer, Legal Elite and is considered to be one of the best securities lawyers in Florida. [read post]
20 Oct 2022, 6:21 am
” As a mechanical industry air-gapped for over a [read post]
6 Sep 2022, 3:50 pm
Malecki is a regular presenter and panelist at securities industry events. [read post]
1 Sep 2014, 9:23 pm
The FTC encourages individual companies, and the industries in which they compete, to voluntarily join together to ensure data security. [read post]
