Cybersecurity

The Reg S-P issue stemmed from failing to notify insurance carriers when certain registered reps left the firm

Recent cyber incidents trigger trade associations to express concerns about the cyber risk management practices at federal regulatory agencies

An industry trade group has urged the SEC to get behind a 'public-private partnership' to urge anonymous submissions of known cyberattacks to alert the industry ...

Two new alerts address the "fast-flux" technique of bad actors and an alleged large-scale data breach possibly affecting Oracle Cloud services

The number of TCPA suits jumped 800% from 2023 to 2024, Compliance Point says

FINRA Forward is aimed at modernizing the SRO's rules, empowering broker-dealer compliance, and combatting cyber and fraud risks

One of the common errors that often gets discovered during such an exercise is the manager who states that the responsibility for a certain task ...

SEC and FINRA settlements offer the industry lessons learned as they cover a wide landscape of current compliance hot-buttons

FINRA worried for ransomware, social engineering

New unit will combat cyber-related misconduct and protect retail investors from bad actors in the emerging technologies space