This week, FINRA released a report focusing on the increased threats of cyberattacks in the financial industry, and preventative measures that all brokerage firms should implement to decrease their exposure to a serious cyberattack. The report emphasized that firms...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: February 2015
Recent Posts
- SEC adopts amendments to prevent misleading or deceptive fund names
- SEC charges YieldStreet and its subsidiary for misleading investors
- SEC using AI as part of surveillance and enforcement, Gensler says
- Judge approves settlement in lawsuit over Wells Fargo unauthorized accounts
- FINRA remote supervision proposal draws continued opposition
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