Securities Law, Privacy

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

by Charles Hertlein, Jr. | Dinsmore & Shohl LLP on 5/21/2013

It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the anti-identity theft, or “red flag” rules jointly adopted by the Federal Trade...more

Business News Digest – May 2013

In this issue: - Does the SEC Like Social Media? Understanding the Application of Regulation FD to Social Media - NIST Holds First Workshop on Executive Order Cybersecurity Framework - Jumpstart Our...more

SEC Considering More Stringent Requirements For Cybersecurity Disclosures In The Wake Of Stock Manipulating Hacking Case

by Josh Deitz, Stephen Knaster, Katherine Lubin | Orrick - Securities Litigation and Regulatory... on 5/21/2013

Following up on clues earlier this year that the SEC may increase its scrutiny of cybersecurity disclosures, SEC Chairman Mary Jo White has asked the Commission to evaluate current guidance for cybersecurity disclosures and...more

Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft

by Cole Beaubouef, Scott H. Moss | Lowenstein Sandler LLP on 5/20/2013

On April 10, 2013, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”, together with the SEC, the “Commissions”) jointly issued final rules to require certain regulated...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - May 17, 2013

by BuckleySandler LLP on 5/20/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - PRIVACY/DATA SECURITY - Excerpt from...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - May 10, 2013

by BuckleySandler LLP on 5/13/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - MISCELLANY - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - PRIVACY/DATA SECURITY -...more

Protecting Privacy or Enabling Fraud? Employee Social Media Password Protection Laws May Clash with FINRA Rules

by Jessica Goldenberg | Proskauer - Privacy & Data Security on 5/9/2013

As a growing number of states pass legislation which will protect individuals’ social media accounts from employer scrutiny, they have encountered a surprising adversary – FINRA and other securities regulators....more

BLG Monthly Update for May 2013

by Neil Guthrie on 5/6/2013

Privacy, data breaches, texting, a bit of golf law and more in the BLG Monthly Update for May 2013...more

Small and Mid-Size Companies: Beware of Increased Cybersecurity Threats of Sensitive Tax Information

by Helen Christakos, Brendan Lund | Carr, McClellan, Ingersoll, Thompson & Horn -... on 5/3/2013

Small and mid-size companies electronically transmit an increased amount of sensitive financial information via the Internet to comply with tax compliance obligations....more

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

by Timothy Blank, Nicholas DiLorenzo, Owen C.J. Foster, Christopher Harvey | Dechert LLP on 4/30/2013

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the “Rules”), which are rules and guidelines requiring certain financial institutions worldwide to adopt comprehensive data security programs to detect...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 26, 2013

by BuckleySandler LLP on 4/29/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE - PRIVACY/DATA SECURITY -...more

SEC and CFTC Issue Final Joint Rules on “Red Flags” Compliance

by Cynthia Larose, Adam Veness | Mintz Levin - Corporate & Securities on 4/25/2013

The Securities Exchange Commission (“SEC”) and the Commodity and Futures Trade Commission (“CFTC”) (together, the “Commissions”) have issued final joint rules and guidelines that require certain entities regulated by the...more

The SEC and CFTC Adopt Identity Theft Red Flag Rules

by Charley Lozada | Proskauer - Privacy & Data Security on 4/24/2013

The Securities and Exchange Commission (the “SEC”) and Commodity Futures Trading Commission (the “CFTC”) recently adopted rules requiring entities subject to their respective enforcement authorities to adopt and implement...more

SEC Approves Final Investor Privacy Rule

by BuckleySandler LLP on 4/22/2013

On April 10, the SEC voted unanimously to adopt a final rule requiring broker-dealers, mutual funds, investment advisers, and other regulated entities to implement programs designed to detect and prevent identity theft. The...more

SEC and CFTC Issue Identity Theft Rules

by Ana-Maria Ignat, Daniel A. Nathan | Morrison & Foerster LLP on 4/22/2013

Today, April 19, 2013, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) published in the Federal Register rules and guidelines requiring their respective regulated financial...more

Missouri Court Rules Against $440,000 Cyberheist Victim

by Bernstein Shur on 4/22/2013

A Missouri court last week handed a legal defeat to a local escrow firm that sued its financial institution to recover $440,000 stolen in a 2009 cyberheist. The court ruled that the company assumed greater responsibility for...more

Insurance Coverage for Class Action Lawsuits

by Judy Selby | BakerHostetler on 4/19/2013

Upon learning that his obituary had been published in the New York Times, Mark Twain famously quipped, “Reports of my death have been greatly exaggerated.” The same can be said about class action lawsuit filings after the...more

Financial Services Bulletin: Action At The CFTC, SEC, CFPB, Fed, And FDIC

by Perkins Coie on 4/19/2013

On Wednesday, April 10, 2013, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") jointly issued final rules and guidelines that will require certain regulated entities...more

SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft

by Avi Badash, Ross Pazzol | Katten Muchin Rosenman LLP on 4/16/2013

The Securities and Exchange Commission, jointly with the Commodity Futures Trading Commission, adopted rules and guidelines to require certain entities regulated by the SEC and CFTC, such as broker-dealers, mutual funds and...more

Business News Digest – April 2013

by Michael Baader, Jamie Barnett, Andrew Bigart, Amanda C. Blunt, Edward Boyle, Gregory Braker, Robert Burton, Emilio W. Cividanes, John F. Cooney, Krista Coons, Ashley Craig, Daniel Danello, more +Robert P. Davis, Paul Debolt, Douglas Emhoff, Lisa Jose Fales, Matthew R. Farley, Kathryn Floyd, Thomas Gilbertsen, Nancy Grunberg, Michael Hartmere, J. Scott Hommer, Stuart P. Ingis, Jay Johnson, Jonathan King, Mitchell Kolkin, George Kostolampros, Dismas Locaria, Elizabeth Lowe, Melissa McLaughlin, Lindsay B. Meyer, Parker B. Morrill, Jonathan L. Pompan, Hillary Profita, Matthew R. Rabinowitz, Megan Roberts-Satinsky, Anthony Rosso, Martin Saad, Sejal Shah, Raymond Shepherd, Eric R. Smith, Robert Smith, Margaret Strand, Joeann Walker, Ariel S. Wolf, Jason Wool, Brian Zimmet | Venable LLP on 4/15/2013

In this issue: - Finders May Pose Risk in Private Capital Raising - NIST Holds First Workshop on Executive Order Cybersecurity Framework - NIST Issues Request for Information, Begins Developing...more

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Securities Law › Privacy