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FINRA Keeps Its Business Continuity Rule Intact

FINRA Rule 4370 requires firms of all sizes to be prepared for business disruptions by maintaining a business continuity plan. After conducting a "Pandemic Review" of the rule, which included extensive feedback from internal and external stakeholders, FINRA decided to keep the rule as is. A majority of the feedback received indicated that Rule 4370

2022-01-07T18:25:58-05:00December 30th, 2021|BCP, Cyber, FINRA|

National Cybersecurity Awareness Month – Know your Attack Surface

October is National Cybersecurity Awareness Month. Our goal this month is to provide you meaningful information to help you make well-informed, conscious decisions about how you should be protecting yourself and company from cyber threats. To start this month off we felt it was important for everyone to become familiar with the term “attack surface”.

2020-07-13T12:54:52-04:00October 1st, 2019|Cyber|

Phishing attack evades detection

Inform your HR departments, internal recruiting teams, and hiring managers to be on the lookout for emails that come from someone submitting a resume for an open position in your firm. Why? There has been a significant increase in the use of this type of email attack to deliver malware. What makes these emails different?

2020-07-13T12:54:59-04:00August 30th, 2019|Cyber, Malware, Phishing|

New York State SHIELD (Stop Hacks and Improve Electronic Data Security) ACT

New York State SHIELD (Stop Hacks and Improve Electronic Data Security) will go into Effect March 21, 2020. This gives businesses a little less than nine months to become familiar with it and prepare for it entails. What is the SHIELD Act? The Stop Hacks and Improve Electronic Data Security (SHIELD) Act redefines data security

2020-04-27T10:29:50-04:00July 30th, 2019|Cyber|

Cybersecurity Alert – OCIE – Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features

Alert On May 23, 2019, the Office of Compliance Inspections and Examinations ("OCIE") issued the alert "Safeguarding Customer Records and Information in Network Storage - Use of Third Party Security Features". In this alert the OCIE 'identified security risks associated with the storage of electronic customer records and information by broker-dealers and investment advisers in

2020-04-27T10:29:52-04:00May 27th, 2019|Cyber, OCIE|
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