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Searching Content indexed under Security by Matthew Bisanz ordered by Published Date Descending.
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National Futures Association Adopts Notification Requirement For Certain Cybersecurity Incidents
On January 7, 2019, the National Futures Association ("NFA") announced that it had adopted amendments to its information security requirements that include a cybersecurity incident
United States
24 Jan 2019
2
NASAA Proposes Investment Adviser Model Cybersecurity Rule
On September 23, 2018, the North American Securities Administrators Association, Inc. ("NASAA") ...
United States
9 Jan 2019
3
5 Considerations For General Counsels Regarding The New York Cybersecurity Regulations
The cybersecurity regulation ("CyberRegs") adopted by the New York State Department of Financial Services ("NYDFS")
United States
6 Nov 2018
4
SEC Brings First Enforcement Action Under The Identity Theft Red Flags Rule
On September 26, 2018, the US Securities and Exchange Commission ("SEC") brought and settled charges against a registered broker-dealer/investment adviser (the "Registrant") for allegedly violating...
United States
25 Oct 2018
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