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InternetNews
January 31, 2007
Ed Sutherland |
Fraudsters Update Pump-And-Dump Regulators warn online brokerage frauds on the rise.   |
Registered Rep.
September 11, 2014
Megan Leonhardt |
Cybersecurity Breaches Not Rare, Just Undetected A new study by the North American Securities Administrators Association found only 4 percent of small to mid-sized RIA firms have experienced a cybersecurity attack. |
Registered Rep.
September 11, 2008
Halah Touryalai |
LPL Fined For Privacy Failures The firm was slapped with a $275,000 penalty issued by the SEC for failing to safeguard its customers' personal information. |
Wall Street & Technology
July 28, 2004
Jim Middlemiss |
Gone Phishing In the latest identity-theft scam, fraudulent e-mails trick individuals into coughing up passwords to 'secure' financial data. |
Information Today
May 2005
Phillip Britt |
Protecting Private Information In addition to the separation of security duties, the culture of the company may be one of the most important aspects in protecting sensitive information. |
Registered Rep.
August 15, 2014
Diana Britton |
Is the Cyber Sweep Too Much to Handle? The recent regulatory sweeps around cyber security by the Securities and Exchange Commission and FINRA are starting to hit financial advisors, and many, especially smaller practices, are not prepared for it. |
CRM
September 2012
Kelly Liyakasa |
Cracking the Code on Cyber Crimes Despite efforts to proactively protect customer data, computer intrusions and online fraud are on the rise. |
Investment Advisor
February 2010
Chester Wright |
Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden. |
InternetNews
February 24, 2010 |
Cyber Attacks Hit 75% of Enterprises in 2009 Symantec's latest report has more unsettling news for IT security administrators. |
Bank Systems & Technology
July 5, 2004
Peggy Bresnick Kendler |
Virus Vigilance A virus can grind a bank's operations to a halt and expose billions of dollars. To really safeguard their systems, banks must implement strict security policies - and communicate them to employees and technology partners. |
CIO
September 24, 2009
Matt Karlyn et al. |
Identity Theft: 7 Tips for Complying with FTC Red Flag Rules The FTC's Red Flag Rules for reducing fraud due to identity theft take effect on November 1. Here's what you need to do to make sure you comply. |
Registered Rep.
May 24, 2006
Kristen French |
Broker Sanctioned for Violation of Patriot Act After nearly a year and a half since the law's passage and after over a dozen brokerage firm audits, the SEC took its first enforcement action against a broker/dealer. Yet, in so doing, the SEC noted that broker/dealers are generally doing a very good job of complying. |
Real Estate Portfolio
Mar/Apr 2002
Scott Laliberte |
Preventing a Hack Job As more real estate business activity moves to the Internet, the security of electronically transmitted and stored data is becoming of greater concern. Companies in every industry are struggling to create secure systems that keep their assets safe while still operating efficiently... |
Registered Rep.
June 1, 2005
Karen Donovan |
No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior. |
Financial Advisor
June 2008
David Lawrence |
Keeping It Private In this age of malicious software, computer viruses, and other means of stealing information, it should seem obvious to most financial advisors to take steps to protect client and firm data. Yet many firms still do not do this. |
Inc.
March 2007 |
What We're Worrying About These days, computer security threats are coming from all directions. Here's what is keeping entrepreneurs up at night, according to a recent survey by the research firm Forrester. |
InternetNews
October 23, 2006
Ed Sutherland |
Online Brokers Hit By Fraudsters SEC and other regulators investigate millions in losses of E*Trade and TD Ameritrade customers. |
Registered Rep.
January 1, 2005
Will Leitch |
529 Plans in the Crosshairs To virtually no one's surprise, regulators have begun scrutinizing how 529 plans are peddled. |
PC World
April 2003
Zetter & Tweney |
Internet Fixes Sneakier spam, wilier worms, more aggravating ads... no wonder it feels like your PC is under assault. Fight back with these simple steps for keeping the latest pests at bay. |
Registered Rep.
October 6, 2004
Leitch & Gaffen |
Raymond James Fights the SEC's Fraud Charges The SEC brought fraud charges against the Tampa-based firm, saying the firm had looked the other way when a former broker scammed investors of approximately $44.5 million between 1999 and 2000. |
The Motley Fool
October 25, 2006
Rick Aristotle Munarriz |
The Hacker Made Me Do It Investors: Psst! Your brokerage account is showing. Hackers are crafty. They'll always find a game to play. Just make sure to stay on your toes. Check your account often from a secure location -- or, better yet, have trade confirmations emailed to you. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
InternetNews
January 14, 2004
Sharon Gaudin |
Last Year's Security Problems May Balloon in 2004 If 2003 was the worst year in history for viruses and spam, hold onto your hat. This year, according to security experts, is setting up to see the malicious problems that appeared last year grow and fester into major security problems for 2004. |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
Insurance & Technology
July 19, 2004
Peggy Bresnick Kendler |
Victory Over Viruses? Insurers must rely on a combination of tools - such as e-mail filters and firewalls - training and common sense to safeguard their systems and their operations from viruses and worms. |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
PC Magazine
November 29, 2006
Robert Lemos |
Hacking for Dollars Viruses and worms are so last-decade. Today's PC users have to worry more about online burglary than stolen bandwidth. |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
The Motley Fool
February 11, 2004
Selena Maranjian |
Avoid "Brokerage Identity Theft" Identity theft doesn't just happen to individuals. Even brokerages can be victims. Be wary when someone contacts you claiming to be a brokerage, even a well-known one. |
Registered Rep.
February 13, 2012
Kristen French |
Due Diligence: Obama Budget Showers SEC with Money, SRO Debate Still Strong According to the SEC's budget request, the regulator would use a chunk of that to fatten up its exam program, adding over 200 examiners. |
PC World
April 2004
Scott Spanbauer |
Lock Down Your PC Hackers. Spammers. Even rogue coworkers and employees. How can you keep the bad guys out and the good data in? Safeguard your system's perimeter with these 29 beyond-the-basics security steps. |
CRM
September 7, 2012
Dale Dabbs |
Protect Your Most Valuable Business Assets--Your Customers Optimal CRM incorporates data protection best practices to curtail identity theft. |
CFO
October 1, 2002
Alix Nyberg |
Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency? |
National Defense
November 2011
Piazza & Ayers |
Regulators Flex Foreign Corrupt Practices Act Enforcement Muscles Continuing a trend that started late in the last decade, the Securities and Exchange Commission this year continues to raise the bar on the enforcement of the Foreign Corrupt Practices Act of 1977. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Registered Rep.
March 27, 2006
Kristen French |
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. |
PC Magazine
April 5, 2006
Robert Lemos |
This Man Has a Virus Security software can do little about the most dangerous delivery mechanism of all: the user. |
Registered Rep.
December 16, 2005
Halah Touryalai |
Former Pru Broker Penalized for Abusive Trading Three years after the SEC charged five Boston-based Prudential Securities brokers for abusive mutual fund trading, one of the accused is being temporarily barred from association with any broker/dealer or investment advisor. |
Registered Rep.
October 1, 2004
Will Leitch |
RIAs Kickin' Back Three registered investment advisors were accused by the SEC of accepting cash payments from TD Waterhouse in return for putting client assets with Waterhouse. |
Investment Advisor
January 2006
Melanie Waddell |
The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE). |
PC World
August 5, 2002
Kim Zetter |
Trojan Horse Technology Exploits IE Researchers show a tool that could admit hackers by pretending to be a trusted Microsoft application. |
Investment Advisor
February 2007
Melanie Waddell |
Watch Out Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year. |
CFO
January 30, 2004
Esther Shein |
Spy vs. Spy Companies are spending billions on network security, but staying ahead of hackers may be a pipe dream. |
BusinessWeek
December 22, 2003
Amy Borrus |
Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors. |
Investment Advisor
July 1, 2011
Thomas D. Giachetti |
Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam. |
Investment Advisor
October 2007
Melanie Waddell |
Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail. |
On Wall Street
April 1, 2013
Kenneth Corbin |
SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more. |
T.H.E. Journal
April 2004 |
Security Leaders Launch Initiative to Combat Emerging Threats An industrywide collaboration led by Cisco Systems Inc. is trying to limit damage from emerging security threats such as viruses and worms. |
PC World
December 2000
Kim Zetter |
Computer Viruses: The Next Generation What will be the next virulent outbreak? No one knows, except that it's guaranteed to be more lethal than ever... |
InternetNews
September 7, 2006
Ed Sutherland |
Microsoft Investigates Word 2000 Trojan Microsoft said it has launched an investigation into reports of a new Trojan horse targeting Word 2000. |
