Cybersecurity

SRO warns of fraudulent e-mails purporting to be from FINRA and using e-mail addresses designed to look like they are those of FINRA execs

Financial services will continue to be hit with the symptoms of the cyber threat, including ransomware, account takeovers, identity theft, and data breaches

The last two years have seen the SEC adopt rules providing investors with disclosures on emerging risks like climate control, cybersecurity and SPACs

'Our primary goal is to provide relief'

Commission 'takes its cybersecurity obligations seriously,' Gensler claims

"The SEC takes its cybersecurity obligations seriously. Commission staff are still assessing the impacts of this incident .... The staff also will continue to assess ...

"Effective practices" highlighted for incident preparation and response, the reporting of cyber incidents, and available resources and contact information

Odds are your firm will suffer a computer breach, if it hasn’t already—and you may not even know it

FINRA enforcement action flags need to require multi-factor authentication for third-party service providers

'Managers and their fintech portfolio companies should take note,' expert says