Contact Me:
Anthony J. Zeoli
Tel 773.983.9133
Fax 312.660.9612
[email protected]Blogroll
Categories
Search Posts
Follow me on Twitter
My Tweets
Tag Archives: Cybersecurity
LOCK IT UP – SEC and FINRA Weigh In On Cybersecurity Issues At Brokerage And Advisory Firms
Early in 2014, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its intention to conduct an examination of certain registered broker-dealers and investment advisers in order to assess the general vulnerability of the … Continue reading