Compliance Consult
SEC Investor and Cyber Initiatives
The priorities of two new programs
Reported by
David Kaleda
To access this premium content, please sign up for a free account!
You Might Also Like:
SIFMA, ASA Tout SEC E-Delivery Rule as Cost-Saving
As of Monday’s public comment deadline, more than 80,000 comments were submitted.
Democratic Senators Push FINRA to Require Account Transfer Locks, Notifications
Senators Elizabeth Warren and Ron Wyden warned the self-regulator about the growing fraud associated with asset transfers between brokerages.
Businesses Want Cybersecurity to Protect Voice Recordings, per Survey
A recent survey found that 93% of surveyed enterprises wanted voice security included in risk management programs.
