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U.S. Regulation

U.S. Regulation

SEC Cybersecurity Guidance – April 2015 ^[PDF]
U.S. Department of Justice Best Practices for Cyber Incidents – April 2015 ^[PDF]

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Advocacy
IIAC Letter to IIROC Regarding Proposed Regulatory Changes Resulting from the COVID-19 Experience » July 29, 2020 IIAC Letter to the Montréal Exchange regarding amendments to the minimum price fluctuation of the Three-Month Canadian Bankers’ Acceptance Futures (BAX) » July 24, 2020 IIAC Letter to the Montréal Exchange regarding the Investigation Process of the Regulatory Division » July 24, 2020
What's New
Op-Ed - Closing the circle to benefit investors: SRO reform can lead to a better outcome for dealers and their clients » July 29, 2020 Op-Ed - Battling systemic economic racism: A few suggestions for the way forward » July 21, 2020 Op-Ed - Proposed rules on vulnerable clients need clarification » July 15, 2020
Events
Events
- Apr 1
  2020 Investment Industry Hall of Fame » Toronto

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