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SEC Proposes Rule Requiring Off-Exchange Broker-Dealers to Become FINRA Members

The Financial Industry Regulatory Authority (“FINRA”) is continuing its backdoor attempts to regulate anything and everything related directly or indirectly to securities. Its latest attempt is via its surrogate, the Securities and Exchange Commission (“SEC”), to have SEC Rule 15b9-1 (the “Rule”) under the Securities Exchange Act of 1934 amended to require any SEC registered …

Andreessen Horowitz Moves Privacy and Security Compliance Due Diligence to Center Stage

Venture capital firm Andreessen Horowitz is putting its money where the need to protect its technology company investments lies, in regulatory due diligence for privacy and cybersecurity compliance. On April 16, the firm announced that it has formed a “policy division to help the firm’s technology companies avoid afoul of federal or state lawmakers” and …

Electronic Medical Records Reach Privacy Crossroads

What information does the term “medical record” comprise and what are the privacy and security safeguards of devices that create, store and send it? How is that information safeguarded?  These are question to which regulators in the U.S. and Europe are paying greater attention. Health IT organizations would be well advised to consider the privacy …

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