How To Become a Compliance Lawyer

How To Become a Compliance Lawyer

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Cyber Security

FINRA ALERT – Phishing Campaign Targets SEC Registrants

On October 6, 2020, FINRA issued a Regulatory Notice warning member firms of a
widespread, ongoing phishing campaign that involves fraudulent emails purporting to be
from FINRA asking member firms to complete a survey.


Quarterly Newsletter: October 2020

Our Q3, 2020 Quarterly Newsletter is part of a series that provides a regular update of key regulatory issues affecting the UK/EU and the USA, to help you connect the dots.

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