The DOL's Employee Benefits Security Administration provided new guidance for plan sponsors, fiduciaries, participants and record-keepers concerning best practices for managing cybersecurity.
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The SEC Division of Trading and Markets staff reminded broker-dealers operating programs in which they borrow securities from their customers of their obligations under the customer protection rule.
The CFTC declined to authorize compliance with a subpoena for documents issued by an OCC administrative law judge after a finding that the subpoena was invalid and otherwise objectionable.
The SEC reopened the comment period on a 2016 proposed rule that would require the use of universal proxy cards in all non-exempt solicitations for contested director elections.
A broker-dealer settled FINRA charges for failing to implement an AML program tailored to the broker-dealer's retail business.