Tagged as: FINRA

FINRA Cracks Down on Financial Firms for Cybersecurity Deficiencies

On December 21, 2016, the Financial Industry Regulatory Authority (FINRA) announced that it was fining 12 firms a total of $14.4 million for failing to comply with FINRA cybersecurity regulations, having identified “significant deficiencies relating to the preservation of broker-dealer and customer records in a format that prevents alteration.” FINRA…

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