In his overview of the Financial Industry Regulatory Authority’s (FINRA) annual examination priorities letter, Partner Richard Wallace said FINRA’s statement provides transparency and is a helpful tool to promote compliance through education. He noted that cases brought by FINRA in 2011 may help firms predict cases that will be introduced in 2012.
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The RIF Roadmap: Tools and Tactics for a Smooth and Compliant Transition
Join us for an insightful discussion on proactive workforce planning in today's dynamic economic and regulatory landscape.
16 May 2025
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Reese’s Law: The Evolving Regulatory and Enforcement Landscape for Consumer Products Containing Button Cell or Coin Batteries
Over the past year, manufacturers, importers, distributors, and retailers of consumer products containing button cell and coin batteries (or products intended to contain them) have continued to adapt to the requirements of Reese’s Law and the Consumer Product Safety Commission’s corresponding enforcement efforts.
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May 2025 Midwest Cyber Security Alliance Meeting | What Happens After a Breach: Practical Tips for the Notification Process
Join us on Thursday, May 29, 2025, at the next Midwest Cyber Security Alliance Meeting. Brandon Hollinder, Esq., and Adam Botter from Epiq will provide practical tips and insights on organizing the data mining and subsequent notification process after a cybersecurity breach.