SIFMA and SIFMA AMG Comment on the SEC’s Proposed Rules for BDs and RIAs Among its many uses in the financial world, technology can improve operational efficiencies, reduce risk and…
On July 26, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued proposed rules (the “Proposed Rules”) that would require broker-dealers and investment advisers (collectively, “firms”) to evaluate their use…
On June 28, 2023, the New York Department of Financial Services (“NYDFS”) announced its Revised Proposed Second Amendment to its Cybersecurity Regulation, 23 NYCRR Part 500 (the “Revised Amendment” or…
On Tuesday, March 21, 2023, Julie Riewe, Kristin Snyder and Charu Chandrasekhar from our White Collar & Regulatory Defense Group, Jeff Robins from our Banking Group, and Avi Gesser and…
On March 9, 2022, the SEC released its newest series of proposed cybersecurity rules, this time for all public companies. Consistent with the proposed rules issued last month for investment…