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Red Oak Blog

News that affects your business and ours.
Cybersecurity: Guarding Against Ransomware If you have been watching or listening to the news, you may be aware of a ransomware attack known as WannaCry, WCry, or Wanna Decryptor that has affected many businesses in over one [...] Read more
Insider Trading Most in the industry do not consider being the perpetrator of insider trading as high risk, as most of those in the industry have no means of obtaining inside information. And in most [...] Read more
May 13 2017
FINRA Offers Additional Guidance on Social Media and Business Communications As social media use continues to increase among American adults, investment firms have continued to raise new questions related to how FINRA rules apply to social medial and digital communications. Pursuant to Regulatory [...] Read more
May 3 2017
Net Capital Firms are encouraged to self-report issues to regulators when found. These self-reported items are generally resolved more favorably to the firms than they might be if found by the regulators themselves. This obviously [...] Read more
April 15 2017
Proposed Rule Changes for Registration and Continuing Education As disclosed on a recent FINRA filing of Securities and Exchange Commission (“SEC”) Form 19b–4, there are proposed rule changes filed regarding registration and Continuing Education (“CE”) requirements: To restructure current representative-level qualification [...] Read more