Tag Archives: financial information

Crowdfunding Portals Beware!

Because 88% of SEC tested broker-dealers and 74% of investment advisers have experienced cyber attacks, the head of the Securities and Exchange Commission’s Division of Enforcement is telling financial institutions that a cyber breach may also result in a violation … Continue reading

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Crowd Funding Portal Privacy Guidance

The Commodities Futures Trading ┬áCommission recently issued a best practices advisory for financial institutions to protect the privacy of their customers and the security and confidentiality of nonpublic personal information. Since the Securities and Exchange Commission’s new Crowdfunding regs also … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , | Leave a comment