Privacy

(a) Scope of this subpart. This section applies to financial institutions or creditors that are subject to administrative enforcement of the FCRA by the Commission ...

(a) Treatment as financial institutions Notwithstanding section 509(3)(B) of the Gramm-Leach-Bliley Act [15 U.S.C. 6809(3)(B)], any futures commission merchant, commodity trading advisor, commodity pool operator, ...

(a) Definitions. For purposes of this section – (1) Affiliate of a security-based swap data repository means a person that, directly or indirectly, controls, is ...

This 2014 no-action letter from the SEC permits investment advisers and broker-dealers to share documents with the Certified Financial Planner Board of Standards without fear ...

Entities are increasingly popping up whose business model is based specifically on providing “accredited investor” certification services. “The need is out there due to the ...

Even with the best precautions, it’s possible a cyber bad guy could infiltrate your network. Should you find evidence of an intrusion, consider these steps: ...

You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...

They cover the full range, from what is considered to be sensitive data to protective policies to actions should an identity theft be detected

This SEC rule is designed to protect against a client's identity being stolen

The new 115-page final rule states that certain investment advisers, investment companies and broker-dealers can fall under Regulation S-ID if they meet the definition of ...