The new guidance, which the SEC passed in July 2023 (the “2023 Guidance”), is an accelerated evolution of its2018 Guidanceand proposes several notable changes. In addition to the new cybersecurity rules, the SEC Division of Examinations released its2024 examination priorities, which our Complian...
Advice to security leaders:consider the new SEC rules as clarification and amplification of existing reporting requirements for material events rather than a new regime or something that is harsher or different to other geographies. Is breach reporting the only new rule?
SEC 如果加密货币被认定为‘security’,那么对于在美国展业的交易所来说将会是巨大的合规负担。首先,如果作为principal发行新的加密货币,那么除非属于以下许可豁免情形,发行主体需要向SEC申请公开发行证券,通俗来说也就是按照上市公司IPO的标准进行全面财务、内控、合规、人员、架构等审计,这对绝大多数ICO项目方来说都是...
This collaborative approach can lead to a more robust and adaptive security landscape, making it harder for threat actors to exploit common vulnerabilities across multiple organizations. However, it’s important to acknowledge that implementing this rule will also pose challenges to companies...
and how cybersecurity is a key element of enterprise risk management. The proposed rules also reflect the SEC's move toward a more prescriptive rule-making approach and away from the prior administration's principles-based approach. The public comment period for the proposed rules will remain open...
與電子記錄保存系統需求分開,17 CFR § 240.17a-4 (i) (“rule 17a-4 (i) ”) for the broker-broker industry and 17 CFR § 240.18a-6 (f) (“Rule 18a-6 (f) ”) for security-based swap 和 major security-based swap participants, SEC 需要準備或維護 Broker-Dealer 法規記錄或 SBS 法規記...
See Final Rule at 81. Among the comments opposing this proposed requirement were those noting a shortage of cybersecurity expertise in the marketplace, which would make this requirement difficult to fulfill. Final Rules at 83.However, pursuant to Regulation S-K Item 106(...
注：1、见SEC–Final Rule-Cybersecurity Risk Management,Strategy,Governance,and Incident Disclosure2、见CF Disclosure Guidance:Topic No.2—Cybersecurity(Oct.13,2011)3、见Commission Statement and Guidance on Public Company Cybersecurity Disclosures,Release No.33-10459(Feb.21,2018)[83 FR 8166(Feb.26,...
If a security is determined to be a restricted security as defined by SEC Rule 144, it can only be resold under specific circumstances, including the passage of time, the filing of Form 144, and compliance with the quantity limitations imposed by the rule. ...
proposal are published for public review and comment. The SEC reviews the public’s input to determine its next steps.23The SEC will then convene to consider feedback from the public, industry representatives, and other subject-matter experts. It then votes on whether to adopt the rule. ...