You must not overlook important cybersecurity protocols for protecting your email.

The firm is the first to be censured for violating the Identify Theft Red Flags rule.

Early adopters of machine learning technology are more likely to expect business increases this year.

Congress is considering a proposal that would allow small companies to create a multiple-employer retirement plan to enable workers to build savings.

The reforms could serve as a checklist for firms looking to enhance their own cybersecurity posture in light of the regulator’s increased scrutiny.

The ability for consumers to access and share data in one place could transform financial advice.

The rep processed a $9,850 wire request from an imposter posing as a customer, even after the customer called to say that the request was not genuine, FINRA claimed.

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

The news of the data breach cast a shadow over relatively strong first-quarter earnings for the Atlanta bank.

Collaboration is key to the effort since there “is no competitive advantage to be the only firm engaged in data protection."

The self-regulatory body says working with data aggregators increases the risk of cyber fraud, unauthorized transactions and identity theft. But aggregators say other links in the information chain are more vulnerable.

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

To protect their practice, advisors should know the answers to several critical questions about how vendors use and safeguard their data.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

Planners are torn on whether they should DIY or give outsourcing a try.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

ETF Managers Group accused the exchange of favoring interests in a competing product.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

Clients won't accept complacency when a vendor is hacked. Acting quickly is key.