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Survey: Financial pros not following FINRA guidance for social media
Financial advisors are using social networking for business but report a lack of policies, archiving, study shows. Article | 22 Jun 2010
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Financial services firms face social media compliance challenges
Brokerages and other financial firms may find Facebook and Twitter useful marketing tools but they must address FINRA and other compliance requirements. Article | 07 Jun 2010
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Man sentenced in pump and dump stock scam
Indian national receives 81 months and $2.4 million fine for fraud scheme Article | 28 Apr 2010
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Obama launches task force to fight financial fraud
Interagency effort will investigate mortgage fraud, Ponzi schemes and other financial crimes Article | 17 Nov 2009
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Regulators issue standardized privacy notice form for GLBA compliance
Model form aims to make it easier for consumers to understand banks' privacy policies and help financial institutions meet GLBA requirements Article | 17 Nov 2009
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Heartland Payment Systems to vigorously defend breach claims, CEO says
Heartland CEO Robert Carr said the company still can't reasonably estimate the potential impact of the data breach on its day-to-day operations. Article | 24 Feb 2009
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SEC: 404 budgets filled with waste
The SEC slaps the hand of public accounting firms -- and tells C-level execs to get a better grip on SOX 404 requirements. Article | 16 Jan 2008
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SEC suspends trading of 35 companies over spam
The Securities and Exchange Commission (SEC) suspended the trading of 35 companies connected to spam email campaigns as part of what it calls "Operation Spamalot." Article | 16 Jan 2008
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SEC document offers clues on TJX security failings
If company execs need a lesson on what not to do before and after a data breach, experts say there's plenty to learn from a regulatory document TJX filed with the SEC Wednesday. Article | 16 Jan 2008
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FFIEC impact so far
FFIEC aims to make online banking safe for consumers by forcing financial services institutions to assess the risks in their environments and deploy appropriate controls such as strong authentication. Michael L. Jackson, associate director of the FDI... Interview | 28 Dec 2007
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SEC cracks down on kickback schemes
Kickback schemes are a new threat for financial companies and the SEC has noticed. To ensure your company doesn't fall prey, know what they are and how to detect them. Tip
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Federal Deposit Insurance Corporation (FDIC)
The Federal Deposit Insurance Corporation (FDIC) is an independent agency of the United States (U.S.) federal government that preserves public confidence in the banking system by insuring deposits... (Continued) Word
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Survey: Financial pros not following FINRA guidance for social media
Financial advisors are using social networking for business but report a lack of policies, archiving, study shows. Article
-
Financial services firms face social media compliance challenges
Brokerages and other financial firms may find Facebook and Twitter useful marketing tools but they must address FINRA and other compliance requirements. Article
-
Man sentenced in pump and dump stock scam
Indian national receives 81 months and $2.4 million fine for fraud scheme Article
-
Obama launches task force to fight financial fraud
Interagency effort will investigate mortgage fraud, Ponzi schemes and other financial crimes Article
-
Regulators issue standardized privacy notice form for GLBA compliance
Model form aims to make it easier for consumers to understand banks' privacy policies and help financial institutions meet GLBA requirements Article
-
Heartland Payment Systems to vigorously defend breach claims, CEO says
Heartland CEO Robert Carr said the company still can't reasonably estimate the potential impact of the data breach on its day-to-day operations. Article
-
SEC cracks down on kickback schemes
Kickback schemes are a new threat for financial companies and the SEC has noticed. To ensure your company doesn't fall prey, know what they are and how to detect them. Tip
-
Federal Deposit Insurance Corporation (FDIC)
The Federal Deposit Insurance Corporation (FDIC) is an independent agency of the United States (U.S.) federal government that preserves public confidence in the banking system by insuring deposits... (Continued) Word
-
SEC: 404 budgets filled with waste
The SEC slaps the hand of public accounting firms -- and tells C-level execs to get a better grip on SOX 404 requirements. Article
-
SEC suspends trading of 35 companies over spam
The Securities and Exchange Commission (SEC) suspended the trading of 35 companies connected to spam email campaigns as part of what it calls "Operation Spamalot." Article
- See More: All on SEC and FDIC regulations
About SEC and FDIC regulations
Keeping up with the SEC and FDIC will help keep your financial institution compliant. Learn how understanding how the power and guidelines of the U.S. Securities and Exchange Commission and Federal Deposit Insurance Corporation can affect information security, as well as financial reporting requirements, SEC regulations and FDIC insurance regulations.