Cybersecurity

A “listening tour” commenced last August by then new FINRA president/CEO Robert Cook will bear fruit this year. Based on feedback that broker-dealers would like ...

In an SEC enforcement first, the Commission has charged hacking into the computer networks of two prominent but unidentified New York-based law firms in a ...

FINRA has been relatively patient as firms have built their cyber defenses even as a growing number suffer devastating attacks. But there is a line, ...

With the volume of sensitive financial data stored electronically rising exponentially over the past decade and increasingly aggressive hacking attempts on electronic data repositories, FINRA ...

Until a consultant reported the cyber threat to the CFTC, the Commission didn’t know that a common online method for registrants to share sensitive financial ...

Quick. What comes to mind when you think JP Morgan, the Democratic National Committee and Target?   Probably that they’ve all suffered cybersecurity breaches. An ...

The long-awaited National Market System plan to create a Consolidated Audit Trail was approved Nov. 15 by a unanimous vote of the SEC’s commissioners. The ...

The speed and impact of some of these developments heighten the need for the consideration of regulation to be both thorough and forward thinking. That ...

But I hope that today’s discussion will go further than simply celebrating the successes, momentum and future promise of FinTech. I encourage the panelists to ...

Sarao pleaded guilty in the U.S. District Court for the Northern District of Illinois to one count of spoofing and one count of wire fraud ...