Data security

The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

High-value targets include client names and account numbers. Protecting the information can also protect an advisory practice from regulatory penalties.

The regulator said "significant deficiencies" affected hundreds of millions of records.

With cybercrime an increasing threat to small financial firms, it’s important to have a comprehensive defensive program in place.

By offering specialized tax planning and retirement tools, this software has carved out a niche for itself for advisories with clients who have less than $2 million in liquid assets.

FINRA fines Lincoln Financial Securities for foreign hack attack.

Prosecutors served a warrant seeking names of employees who opened unauthorized accounts, as well as the bank’s fee structure and a calculation of losses suffered by affected customers.

It's a planner's worst nightmare. Here's what to do when client data is compromised by a cyberattack.

This unit is a critical gatekeeper and value-add for your clients, particularly high-net-worth ones.

Yahoo says no bank account or card data has been compromised in its massive data breach. Yet hackers could use their ill-gotten personal information about customers to mess with bank accounts.