Two affiliated broker-dealers settled FINRA charges for lacking reasonable cybersecurity controls at branch offices. The failures resulted in multiple incidents that exposed thousands of customers' personal information.
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SEC Chair Gary Gensler asserted that the agency "takes its cybersecurity obligations seriously" and that Commission staff recognize that the recent hack of the SEC's "X" account by an unauthorized party raises "concerns about the security of the SEC's social media accounts."
A broker-dealer settled charges with FINRA for failing to safeguard customer records and information.
The Cybersecurity & Infrastructure Security Agency, along with the FBI and international law enforcement agencies, described the "Lockbit ransomware variant" and recommended methods to mitigate the threat.