News & Analysis as of

Investors Safeguards Rule

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

SEC Action on cybersecurity are just a harbinger of things to come

I’ve said it for a long time. It’s imperative that plan sponsors and plan providers wake up about cybersecurity issues. The recent action by the Securities and Exchange Commission (SEC) is just a harbinger of things to come...more

Carlton Fields

SEC Cyber Update: Official Outlines Active Role for SEC on Cybersecurity as Enforcement Questions Persist

Carlton Fields on

SEC Chicago Regional Director David Glockner spoke at a PLI Conference in New York on June 6 regarding the SEC’s data security regulations and enforcement efforts. Mr. Glockner acknowledged frustration with the Division of...more

Carlton Fields

Investment Adviser Settles SEC Charges After Data Breach

Carlton Fields on

Last week, the Securities and Exchange Commission (SEC) settled charges against a registered investment adviser for failing to comply with Rule 30(a) of Regulation S-P (17 C.F.R. § 248.30(a)) (“Safeguards Rule”). The...more

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