On September 15, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert re-emphasizing the careful scrutiny it will give to the data security practices of...more
9/21/2015
/ Cybersecurity ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Obama Administration ,
OCIE ,
Risk Alert ,
Risk Assessment ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Security and Privacy Controls ,
Vendors
Overview -
On March 25, 2015, the Securities and Exchange Commission ("SEC" or "Commission") proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 ("Exchange Act") that, if...more