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Cybersecurity
You'll be asked to comment on several proposed changes passed last week by FINRA's Board of Governors. These include a requirement that firms "include a ...
In a few months, SIFMA is expected to release suggestions that might help the industry beef up its cybersecurity. That's when the organization will release ...
Just because a firm is an introducing broker-dealer that doesn't provide customers with access to the market doesn't mean the firm is automatically excluded from ...
This SEC rule is designed to protect against a client's identity being stolen
Last month the SEC's Corporation Finance division urged public companies to consider the risk of a cyber attack and to disclose those risks to investors. ...
Three waste baskets occupy each office at John A. Wolfe & Associates ($400M in AUM) in Portage, Mich. One takes standard trash. A second is ...