By
Aaron Nicodemus2023-01-11T16:18:00
The Financial Industry Regulatory Authority’s (FINRA) annual report on examinations and risk monitoring indicated a new emphasis for the regulator on combating financial crime, particularly cybercrime.
For the first time, the “2023 Report on FINRA’s Examination and Risk Monitoring Program” advised firms how they should protect themselves and their customers against cybercrimes, including identity theft, account takeovers, ransomware, and network intrusions.
The annual report highlighted “FINRA’s increased focus on protecting investors and safeguarding market integrity against these ongoing threats.”
2025-02-03T15:56:00Z By Adrianne Appel
Two massive hacking websites–where criminals sold everything from stolen social security numbers to tools for cybercriminals to gain access to computers–have finally been shut down by an international law enforcement team, the Department of Justice announced.
2023-03-09T17:57:00Z By Aaron Nicodemus
The Financial Industry Regulatory Authority fined broker-dealer Webull Financial $3 million for alleged failures related to customer due diligence and processing and reporting of customer complaints.
2023-01-31T20:04:00Z By Aaron Nicodemus
The Securities and Exchange Commission issued a risk alert listing deficiencies its examiners found in broker-dealers’ compliance with Regulation Best Interest.
2025-10-27T20:16:00Z By Adrianne Appel
California has delayed the release of draft greenhouse gas reporting rules for businesses until early 2026, the California Air Resources Board said.
2025-10-27T19:06:00Z By Neil Hodge
New rules that have recently come into effect across the EU will allow for greater transfers of data between companies, though experts fear the changes could conflict with Europe’s strict privacy legislation, which protects personal information.
2025-10-24T18:05:00Z By Adrianne Appel
Nine states are collaborating to write and enforce comprehensive data privacy laws, in an effort to protect consumers across jurisdictions and due to the absence of a broad, federal privacy law.
Site powered by Webvision Cloud