Cybersecurity

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

You can aspire to do all the right things when it comes to cybersecurity, and your vendors may do so as well. Yet trouble can ...

Assuming an SEC rule change to the more than two-decades old Reg S-P comes to fruition, you have lots of time to prepare but also ...

When the SEC finalized its changes to Reg S-P last year, it also tweaked other securities rules to fall in line with the enhanced privacy ...

An unauthorized third party fraudulently persuaded a Robinhood employee to download remote access software onto a Robinhood computer and give the actor control of the ...

The firm discovered malicious software had blocked access to its computer systems and data by encrypting data and programs within its network. The attack disrupted ...