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Searching Content by Daniel Nelson from Proskauer Rose LLP ordered by Published Date Descending.
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1
NFA Issues Guidance On Information Systems Security Programs And CPO Internal Controls Systems
The NFA has amended its existing guidance to its members on Information Systems Security Programs (ISSPs) ...
United States
14 Mar 2019
2
Veterans Day Spotlight: Securing Benefits For Disabled Vets
As veterans ourselves, we consider this pro bono work to be a personal mission.
United States
15 Nov 2018
3
First Securities Lending Transaction Using Blockchain Technology Completed
It was reported this month that ING Groep NV and a major international bank recently completed the first live securities lending transaction settled using distributed ledger technology ("DLT").
United States
20 Mar 2018
4
Answering The Call For Better Coordination In Providing Veterans Services
Serving veterans is a vital part of Prosakuer's pro bono and corporate social responsibility initiatives.
United States
21 Feb 2018
6
FINRA Introduces Revised Sanction Guidelines
FINRA recently released updated and revised Sanction Guidelines and an accompanying Regulatory Notice that, among other things, call for stricter penalties against broker-dealers who commit fraud or violate suitability rules.
United States
15 May 2015
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