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FINRA’s 2018 Report on Cybersecurity Practices - Insider Threats If Your Program Only Focuses on External Threats, You are Only Halfway There

USA - January 8 2019 On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a report on cybersecurity practices for broker-dealers. Today’s...


SEC Charges Its First Robo Actions - Increasing Scrutiny of the Investment Platform

USA - January 2 2019 It was never a question of if, but rather, when would the Securities and Exchange Commission launch its first charges against robo-advisors and what...

Cheryl L. Haas, Natasha S. Cooper.


FINRA’s 2018 Report on Cybersecurity Practices - Preventing “Spear Fishing” and “Whaling” Attacks

USA - December 27 2018 On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a report on cybersecurity practices for broker-dealers. Today’s...


FINRA Issues 2018 Report on Selected Cybersecurity Practices

USA - December 21 2018 On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a report on cybersecurity practices for broker-dealers. This post...


The Broker Protocol’s Demise Imminent or Greatly Exaggerated?

USA - July 6 2018 For 14 years, the Protocol for Broker Recruiting has allowed financial advisors to leave their employer firms and take specific client information...

Alexander Martin Madrid, Cheryl L. Haas.