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New Regulations Risk Management Regulatory Oversight

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for May 2024

SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more

Association of Certified E-Discovery...

Analyzing the Impact of the Many New Rules of Cybersecurity

The federal government is trying to find as many ways as possible to handle the cybersecurity crisis facing the United States. While it is unlikely that Congress will pass a comprehensive federal cybersecurity law for the...more

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