EB-5 Programs – When is FINRA Registration Required?
The EB-5 Program began in 1990 and is administered by the United States Customs and Immigration Service (“USCIS”). An EB-5 Program provides foreign nationals who have the means to invest in certain job creating commercial enterprises in the US, with … Read More
Cybersecurity – Email Security Steps
In today’s world, emails are the main avenue of communication, both for personal and business purposes. However, accompanying that is the fact that email hacking has become more commonplace and hackers continue to find sophisticated ways to obtain illegal access.
Cybersecurity Vulnerability Assessments and Penetration Tests
Vulnerability assessments and penetration testing enter the realm of information security (IS) professionals. It is important to note that information security is a sub-specialty of information technology and most “IT guys” are not trained in information security. Therefore, it’s important … Read More
SEC to Propose New Rules for Registered Funds that Invest in Derivatives
Warren Buffet on Derivatives “In my view, derivatives are financial weapons of mass destruction, carrying dangers that, while now latent, are potentially lethal.” ~ Excerpt from the 2002 Berkshire Hathaway Annual Report Buffet’s comments were particularly prescient six years later … Read More
The Human Element of Cybersecurity
Beginning in 2014, both the Securities Exchange Commission (“SEC”) and FINRA began to examine the heightened risk financial services firms face regarding unauthorized access to the electronic data that these firms routinely maintain as part of their businesses. As part … Read More