SEC and FINRA Compliance

Technology and securities regulation are now inexorably linked, and issues of data retention, data management, cybersecurity, etc. dominate SEC and FINRA compliance agendas.

For instance, responding to FINRA and SEC demands for information, whether via SEC subpoena or SEC or FINRA voluntary requests (such as an 8210 FINRA Request for Documents or Information) can often not only cost a regulated entity millions of dollars but can also quickly evolve into an unnecessary and distracting sideshow if not managed properly and thoughtfully. Yet, for SEC and FINRA enforcement attorneys, given the ease of their review, the tendency is to ask witnesses for far more data than is necessary (or even possible) for a company to produce. Let John Reed Stark review your regulatory subpoena or request; analyze the digital compliance required; and offer his expertise to convince regulators of the burden and cost of a production as well as the reasonableness and efficacy of a thoughtfully and skillfully crafted alternative compliance plan.

At John Reed Stark Consulting, we can advise regulated entities on data and technology related issues because we have the experience and the expertise to save a company money, time and immeasurable management drag, and help companies wrestle with an array of 21st century hi-tech challenges.

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Sample some of John Reed Stark’s advice for regulated entities and their data:

Avoiding Vanguard's Cybersecurity Stumble

The SEC's Newly Proclaimed Search Warrant Authority

The SEC's New Foray into Malware Reverse Engineering

When to Say When: Handling Emerging Technology-Related SEC Enforcement Tactics

Six Technology-Related Caveats in Government Investigations

Disclosing Cyberattacks: How To Follow SEC Guidance

Webcast | ESI Meets CSI — What Every Lawyer Should Know About Technology, Digital Forensics and Handling Data