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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FINRA recommended that firms consider promoting end-user awareness in response to recent cyber incidents attributed to specific threat actors.
A broker-dealer settled charges with FINRA for failing to safeguard customer records and information.
The New York State Department of Financial Services adopted amendments to state cybersecurity program requirements applicable to entities that operate under a license or registration provided under New York Banking Law, Insurance Law or Financial Services Law.
The Financial Information Forum, Nasdaq, CME and Investment Company Institute recommended changes to the SEC's proposed rules on cybersecurity risk management practices.