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Cybersecurity Bits and Bytes

Cybersecurity Bits and Bytes

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FINRA fines again target financial firms for failure to follow regs

January 4, 2017
Cybersecurity_default blog

FINRA has sent a clear message to member firms that it is very serious about enforcing its cybersecurity regulations. Requirements to protect personal information as well as to preserve necessary evidence are not being taken lightly by FINRA. READ MORE

FINRA forces firms into the weeds on security policies

November 21, 2016
illustration of person drowning in paperwork

A recent Letter of Consent issued by the SEC's Financial Industry Regulatory Authority (FINRA) contained some startling new requirements that, if enforced by FINRA, could place a significant burden on financial firms in regard to their privacy and cybersecurity policies. READ MORE