- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By John Reed Stark2017-01-31T14:00:00
As the SEC and FINRA are taking cyber-security much more seriously, John Reed Stark outlines a few ways in which financial firms can also do more to protect their data.
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2024-08-21T21:03:00Z By Adrianne Appel
Equiniti Trust Company has agreed to pay $850,000 to the Securities and Exchange Commission to settle allegations that its failed security measures allowed millions in client funds to be stolen in two cyber incidents.
2025-05-21T14:11:00Z By Aaron Nicodemus
Securities and Exchange Commission Chair Paul Atkins indicated he favors changing the agency’s requirement that only the wealthy can invest in so-called “closed-end” private equity funds and hedge funds.
2025-05-20T20:50:00Z By Adrianne Appel
The Securities and Exchange Commission has too many vacancies following efforts by the Trump Administration to reduce the overall size of the federal government, SEC Chair Paul Atkins told Congress Tuesday.
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