SEC: Rulemaking

Given cyber breaches, "we must do everything in our power to enhance cybersecurity practices by market participants and to protect investors’ sensitive personal information"

"When personal information or assets are stolen, the results can be calamitous. It can lead to identity theft, stolen savings, ruined credit, and other effects ...

"Recent recordkeeping charges settled by Morgan Stanley Smith Barney speak to how important it is that market participants properly safeguard customer information"

"Assuming those inspiring words did not convince my colleagues to postpone this rulemaking until we undertake a moonshot harmonization project, let me highlight some other ...

Disclosure requirements 'problematic,' ILPA says

'Just because a crypto trading platform claims to be a qualified custodian doesn’t mean that it is'

SEC Chairman Gary Gensler has returned to a favorite theme, warning investment advisers and broker-dealers that they must get a handle on predictive data analytics ...

RCW sampled early reactions to the proposal

Federal Register version. You have until May 8, 2023 to comment

The SEC adopts a final rule to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) ...