On October 8, 2021, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice urging its member firms (i.e., broker-dealers) to consider how they will incorporate the U.S. Treasury Department’s...more
On August 30, 2021, the Securities and Exchange Commission (SEC) announced that eight broker-dealers and/or investment advisers will pay civil monetary penalties to resolve enforcement actions arising from cybersecurity...more
9/3/2021
/ Broker-Dealer ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
Data Security ,
Enforcement Actions ,
Investment Adviser ,
Personally Identifiable Information ,
Regulation S-P ,
Safeguards Rule ,
Securities and Exchange Commission (SEC) ,
SolarWinds