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SEC Sanctions Eight Broker-Dealers/RIAs for Deficient Cybersecurity Protection

The Securities and Exchange Commission has sanctioned eight firms for having deficient cybersecurity policies and procedures that resulted in email account takeovers that exposed...

FINRA Alerts Firms to New Phishing Campaign Using Fraudulent Domain Names

The Financial Industry Regulatory Authority has issued Regulatory Notice 21-30 warning firms of an ongoing phishing campaign that involves fraudulent emails purporting to be...

FINRA Alerts Firms to New Phishing Campaign Using Fraudulent Email

The Financial Industry Regulatory Authority has issued Regulatory Notice 21-20 warning firms of an ongoing phishing campaign that involves fraudulent emails that appear to...

SEC Fines Broker-Dealer $1.5 Million for Failing to Report Hacking Attempts

The Securities and Exchange Commission has settled charges against GWFS Equities Inc. (GWFS), a Colorado-based broker-dealer and affiliate of Great-West Life & Annuity Insurance...

FINRA Alerts Firms to Fraudulent Phishing Email Campaign

The Financial Industry Regulatory Authority has warned member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from “FINRA Membership”...

FINRA Warns of Fake Phishing Emails

The Financial Industry Regulatory Authority has warned its member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org.” The...

Smarsh Acquires Cybersecurity and Compliance Software Firm

Smarsh, a compliance and regulatory technology firm for wealth management companies, has purchased Entreda, a provider of cybersecurity risk and compliance management software and...

FINRA Warns of Fake Phishing Emails Purporting to be from FINRA...

The Financial Industry Regulatory Authority has warned member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA...

FINRA Warns Broker-Dealer Imposter Website Attacks are on the Rise

The Financial Industry Regulatory Authority released a notice on Monday revealing that several broker-dealers have been victims of imposter websites, which are designed to...

SEC and FINRA Schedule National Compliance Outreach Program for Broker-Dealers

The Securities and Exchange Commission and the Financial Industry Regulatory Authority have opened registration for their 2019 National Compliance Outreach Program for broker-dealers, which...