Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

The NSA, Equifax and the SEC were all breached. Financial advisors of all sizes are fair game, too, says Wes Stillman.

Clients are looking to be reassured about the security of their data.

It can be a daunting process, but here is how to get started.

It's a bigger challenge to keep pace with a fast changing industry, CEO Robert Cook said.

As regulatory scrutiny mounts, firms are expected to do more to position employees to fend off cyber threats.

Most advisors don’t have required safeguards in place, one expert says.

State examiners are finding more shortcomings. At the same time, advisors face bulked-up regulators probing more aspects of their practices.

Equifax's data breach may be the most serious, given that it covered 143 million consumers and involved reams of confidential information, but it wasn't the largest. Following are the biggest to date.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

Risk alert: The agency expects advisors to follow these steps.

A recent OCIE report shows that advisors are missing the mark on protecting their businesses against cyber threats.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

Are the measures you're taking enough? Compliance expert Alan J. Foxman explains.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

The OCIE is suggesting best practices for firms to protect themselves.

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.