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  • Blog: Broker-Dealer Law CornerWhen It Comes To Testifying To The SEC, Providing Alternative Facts Can Be A Bad IdeaPosted on April 22, 2017 by Alan Wolper
    At the beginning of most FINRA OTRs, the examiner reads from a script of sorts, outlining some of the basic rules governing the proceeding. One of the things the script calls for is an express acknowledgement by the witness that he or she is testifying pursuant to Rule 8210, and that, as a result, a… Continue Reading
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  • Blog: Data Security Law BlogPatterson Belknap Publishes Mini-Treatise on New York Cyber RegulationPosted on April 18, 2017 by
    Patterson Belknap Webb & Tyler LLP is pleased to announce the publication of New York’s Cybersecurity Regulation for Financial Institutions- a New Age of Cybersecurity Regulation: Raising the Bar and Demanding Leadership Accountability, published by and available on Bloomberg Law. The mini-treatise provides a general overview of the sweeping new cybersecurity regulation issued by the New [...]
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