Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Interactive Brokers Notifies 600 Clients of Data Breach
By Melanie WaddellThe breach, disclosed May 16, involved an unauthorized party gaining access to an employee's email account.
April 26, 2024
SEC Probing Firms Hit by Massive MOVEit CyberattackThe agency has dispatched dozens of sweep letters to companies affected by the hack, which affected 2,770 organizations.
April 24, 2024
9 Traps to Avoid With Planning Tools: CFP BoardAdvisors must know how their processes really work and how to fully protect their clients' private information.
April 18, 2024
UnitedHealth CEO Warns of 3-Year Medicare SqueezeThe health care services giant also faces ransomware problems and a $7 billion loss in Brazil.
April 05, 2024
Ameritas Adds Pontera's 401(k) Management PlatformAffiliated advisors will be able to make trades and manage retirement plan accounts using the new technology and tools.
March 29, 2024
Dave Ramsey Imposter Scams 72-Year-Old: ReportA faked website appeared to be affiliated with the radio host, which led to messaging with "Dave."
March 18, 2024
Cambridge Says It's Under FINRA Review, Plans $500,000 RestitutionThe firm's procedures for providing fee waivers, rebates and discounts through rights of reinstatement are under scrutiny.
March 15, 2024
FINRA Fines Osaic Wealth, Securities America Over Cyber BreachesThe breaches compromised the personal data of more than 32,000 clients, FINRA says.