The SEC recently issued an investor bulletin regarding one of our favorite topics; data security of customer accounts. The primary areas of the SEC’s focus were:

  1. Have a strong password,


Continue Reading Who wants more reasons to focus on data security

The Financial Industry Regulatory Authority announced that it sent targeted examination letters asking broker-dealer members about their social media use.  See http://www.finra.org/Industry/Regulation/Guidance/TargetedExaminationLetters/P282569.

In the letter, FINRA warned that each member
Continue Reading FINRA Requests Data on Member Firms’ Social Media Use