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Securities and Exchange Commission

SEC Withdraws Proposed Cyber-Related Rule Applicable to Broker-Dealers And Signals SolarWinds Settlement on the Horizon

July 18, 2025 By Cara Peterman, Kate Hanniford, Sierra Shear, Madeleine Juszynski Davidson and Kristen Bartolotta

The Securities and Exchange Commission (SEC) recently announced the withdrawal of several Biden-era regulations, including a proposed rule that would have required a broad range of platforms and financial intermediaries (such as broker-dealers, clearing agencies, national securities exchanges, and transfer agents) to adopt policies and procedures that address cybersecurity risks. The proposed rule also would […]

Filed Under: Cybersecurity, Enforcement, Regulation, SEC Tagged With: Cybersecurity, Regulatory Enforcement, Securities and Exchange Commission

SEC 2025 Examination Priorities Indicate Sustained Focus on Cybersecurity & Data Protection

October 28, 2024 By Kate Hanniford and Kristen Bartolotta

The SEC has released its Examination Priorities: Fiscal Year 2025 (“Examination Priorities”), which may be a useful roadmap to SEC-registered investment advisers, exchanges, and other entities subject to routine examination by the SEC Division of Examinations (“EXAMS”). The Examination Priorities represent the EXAMS Staff’s identification of areas of heightened risks to investors and/or the integrity […]

Filed Under: Cybersecurity, Data Protection, Data Security, SEC Tagged With: Cybersecurity, Data Protection, Securities and Exchange Commission

SEC Sends a Message to Investment Advisers: Take Secure Data Disposal Seriously

September 26, 2022 By Kate Hanniford

  On September 20, 2022, the Securities and Exchange Commission (SEC) settled an enforcement action with a large, registered investment adviser (the Firm) for alleged violations of the Safeguards Rule and the Disposal Rule of Regulation S-P that arose in the context of a data disposal process, imposing a $35 million penalty. Specifically, the SEC […]

Filed Under: Cybersecurity, Data Protection, Data Security, Financial Privacy, Privacy, SEC Tagged With: Cybersecurity, Data Protection, Regulatory Enforcement, Securities and Exchange Commission

SEC Settles Enforcement Actions with Broker-Dealers and Investment Advisors for Identity Protection Deficiencies

August 1, 2022 By Alysa Austin and Kate Hanniford

On July 27, 2022, the Securities and Exchange Commission (SEC) separately settled three enforcement actions with broker-dealers and investment advisers for alleged deficiencies relating to the prevention of customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. Regulation S-ID requires registered financial institutions, broker dealers, and investment advisers […]

Filed Under: Cybersecurity, Data Protection, Financial Privacy Tagged With: Cybersecurity, Data Protection, Identity Theft, Regulatory Enforcement, Securities and Exchange Commission

Swiss Data Protection Regulator Is Latest to Outline Framework for Transferring Data to the SEC

August 17, 2021 By Daniel Felz, Kate Hanniford and Wim Nauwelaerts

Entities registered with the U.S. Securities & Exchange Commission (SEC) must maintain certain books and records and can be subject to the SEC’s examination, inspection, and enforcement authority. Responding to SEC requests can require cross-border transfers of personal data, and this has historically risked non-compliance under foreign data protection law. The SEC has been proactive […]

Filed Under: Data Protection, Financial Privacy, International, Privacy, Regulation Tagged With: Cross-border, EU Data Protection, International Data Transfers, Regulatory Enforcement, Securities and Exchange Commission

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